Individual Firm
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LAN NGOC TRAN
LAN N TRAN
CRD#: 2585249
IA
B
THE WEALTH CONSULTING GROUPCRD#: 173194 21070 HOMESTEAD ROAD
SUITE 210
CUPERTINO, CA 95014
SUITE 210
CUPERTINO, CA 95014
LPL FINANCIAL LLCCRD#: 6413 21070 HOMESTEAD ROAD, STE 210
CUPERTINO, CA 95014
CUPERTINO, CA 95014
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11/14/2012
Customer Dispute
Denied
State Registrations
B
Arizona 3/2/2021
B
Oregon 11/15/2011
B
California 5/6/1998
B
Texas 7/28/2021
IA
California 1/11/2016
B
Virginia 4/27/2011
B
Georgia 8/23/2002
B
Washington 11/16/2023
B
Montana 4/4/2018
B
Wyoming 11/2/1999
B
Nevada 3/30/2020
SRO Registrations
B
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IA
Registered with this firm since 1/11/2016
B
Registered with this firm since 5/1/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/1999 - 09/08/2016 | CUPERTINO, CA | |
B | 03/02/1995 - 06/23/1998 | BOSTON, MA | |
B | 03/02/1995 - 05/01/1997 | BOSTON, MA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.