Truy Tran

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CRD#: 6438329

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Truy Tran, CFP®, who also goes by Truy N Tran, Truy Nguyen-anh Tran, Truy Tran, Tree Tran, Truy Nguyen Anh Tran, was a registered financial professional .

Truy is a previously registered financial professional and started their career in finance in 2015. Truy had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 52, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Truy N Tran | Truy Nguyen-Anh Tran | Truy Tran | Tree Tran | Truy Nguyen Anh Tran

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.

Name of Outside Business:Tree Tran; Investment Related:No; Address of Outside Business: New York, NY; Nature of Outside Business:Music; Position:Professional Singer; Start Date:5/11/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Sing at weddings, cabarets, and corporate events

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Past

February 17, 2021 - July 15, 2024

SOFI WEALTH LLC

RIA

CRD#: 167958

Frisco, TX

Past

February 17, 2021 - July 15, 2024

SOFI SECURITIES LLC

CRD#: 151717

Frisco, TX

Past

February 12, 2019 - December 31, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

NEW YORK, NY

Past

February 12, 2019 - January 11, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

NEW YORK, NY

Past

February 12, 2019 - December 31, 2020

TD AMERITRADE, INC.

CRD#: 7870

NEW YORK, NY

Past

November 1, 2018 - February 6, 2019

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

SUNNYVALE, CA

Past

July 17, 2017 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

DALLAS, TX

Past

March 21, 2017 - February 6, 2019

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

DALLAS, TX

Past

November 14, 2016 - March 13, 2017

SPIRE SECURITIES, LLC

CRD#: 144131

RESTON, VA

Past

November 19, 2015 - November 11, 2016

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015

MCLEAN, VA

Past

April 22, 2015 - July 15, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

FAIRFAX, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/14/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/6/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 1/4/2017

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 4/22/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/30/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/8/2017

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/2016

General Securities Principal Examination

Current Firm

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

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Contact information

Main Address

234 1st Street, San Francisco, CA 94105

Mailing Address

Phone number

(855) 525-7634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOFI WEALTH ADV PART 2A (2/27/2025)

SOFI WEALTH ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	279,216
AUM (Assets Under Management)	$ 1,475,104,376

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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Advisor Monitoring

Firm Stability Insights

Truy Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOFI SECURITIES LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL SERVICES, LLC

RETIREONE INVESTMENT SERVICES, LLC

SPIRE SECURITIES, LLC

GOLDMAN SACHS CUSTODY SOLUTIONS

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2017

Series 63

Date: 5/6/2015

SIE

Date: 10/1/2018

Series 52

Date: 1/4/2017

Series 7

Date: 4/22/2015

Series 4

Date: 4/30/2021

Series 53

Date: 5/8/2017

Series 24

Date: 6/13/2016

Current Firm

SOFI WEALTH LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOFI WEALTH LLC

TRUST BUT VERIFY

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