LT
Lindsay L. Tran
GRADIENT SECURITIES
Lansing, MI 48906
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CRD#: 7151534
LT
Professional summary
Lindsay L Tran, who also goes by Lindsay Wing, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Lansing, Michigan.
Lindsay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Lindsay has worked at 1 firm and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsay Wing
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.
1. Synergy Financial Group, LLC; Inv Related; 15485 Old US Highway 27, Lansing, MI 48906; Insurance; Insurance Agent; Start 07/2021; 24 hours per month; 24 hours during securities trading hours; sales of insurance and dba name used for securities/advisory services. 2. JW Wealth Management, LLC; Inv Related; 15485 Old US Highway 27, Lansing, MI 48906; Administrative; Office Manager; Start 08/2019; office manager. 3. Tranquility Wealth Management, Not Inv Related; 4155 Archwood Drive, Holt, MI 48820; Managing Member; LLC for business bank accounts; O hours per month/during trading hours; Start 01/2023; LLC created for tax purposes only. Not used marketing pruposes.
CRS (Client Relationship Summary) - RIA
Click below to view Lindsay L Tran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lindsay L Tran's 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®
NoneExperience
Current
February 26, 2021 - Present
GRADIENT SECURITIES, LLC
Office #1: 15485 Old Us Highway 27, Lansing, MI 48906RIA
BD
CRD#: 127701
Lansing, MI
Current
April 23, 2021 - Present
GRADIENT SECURITIES, LLC
Office #1: 15485 Old Us Highway 27, Lansing, MI 48906RIA
BD
CRD#: 127701
Lansing, MI
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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Michigan(2/26/2021)
RR
Michigan(6/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/23/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GRADIENT SECURITIES, LLC
CRD#: 127701Lansing, MI 48906TRUST BUT VERIFY
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