Thuy Tran

KYUR

Irvine, CA

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CRD#: 6302554

Professional summary

Thuy Tran is a registered financial advisor currently at KYUR, INC. located in Irvine, California.

Thuy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Thuy has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thuy Tran's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 10, 2017 - Present

KYUR, INC.

RIA

CRD#: 284721

Irvine, CA

Past

August 6, 2015 - December 7, 2016

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

May 27, 2014 - December 7, 2016

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

May 20, 2014 - June 30, 2016

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/4/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2014

General Securities Representative Examination

Current Firm

KYUR, INC.

CRD#: 284721 / SEC#: 801-108760

RIA

Registered Investment Advisory firm - (6/9/2023 Terminated)

California

Registered Investment Advisory firm - (3/14/2023 Approved)

Connecticut

Registered Investment Advisory firm - (4/5/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Newport Beach, CA

Mailing Address

63 Acorn Glen, Irvine, CA 92620

Phone number

(203) 552-0994

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 10,700,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thuy Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thuy Tran's CRS (Customer Relationship Summary).

Certified licenses

Experience

KYUR, INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2015

SIE

Date: 12/7/2016

Series 7

Date: 5/19/2014

Current Firm

KYUR, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KYUR, INC.

TRUST BUT VERIFY

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