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KIET TUAN TRAN
CRD#: 2982034
IA
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MORGAN STANLEYCRD#: 149777 250 Park Avenue South
Suite 500
Winter Park, FL 32789
Suite 500
Winter Park, FL 32789
View By:
10/31/2005
Customer Dispute
Settled
State Registrations
B
Alabama 9/17/2012
B
Montana 6/27/2013
B
Alaska 8/1/2022
B
Nebraska 3/19/2019
B
Arizona 1/17/2012
B
Nevada 3/20/2019
B
Arkansas 3/15/2019
B
New Hampshire 12/21/2022
B
California 6/1/2009
B
New Jersey 11/14/2022
B
Colorado 8/28/2019
B
New Mexico 3/18/2019
B
Connecticut 11/7/2022
B
New York 7/23/2015
B
Delaware 1/18/2023
B
North Carolina 7/24/2015
B
District of Columbia 11/9/2022
B
North Dakota 3/19/2019
B
Florida 6/1/2009
B
Ohio 9/27/2022
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Florida 11/16/2009
B
Oklahoma 11/30/2022
B
Georgia 10/6/2009
B
Oregon 11/6/2022
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Georgia 10/4/2010
B
Pennsylvania 11/21/2022
B
Hawaii 5/16/2019
B
Puerto Rico 3/26/2019
B
Idaho 11/18/2022
B
Rhode Island 3/21/2019
B
Illinois 5/9/2019
B
South Carolina 3/18/2019
B
Indiana 3/15/2019
B
South Dakota 3/25/2019
B
Iowa 9/15/2022
B
Tennessee 11/18/2022
B
Kansas 11/18/2022
B
Texas 3/18/2019
B
Kentucky 4/22/2019
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Texas 4/8/2020
B
Louisiana 3/6/2023
B
Utah 3/15/2019
B
Maine 12/20/2022
B
Vermont 12/21/2022
B
Maryland 12/20/2022
B
Virgin Islands 10/17/2022
B
Massachusetts 7/10/2019
B
Virginia 12/19/2022
B
Michigan 9/19/2022
B
Washington 3/18/2019
B
Minnesota 3/15/2019
B
West Virginia 11/28/2022
B
Mississippi 3/19/2019
B
Wisconsin 3/21/2019
B
Missouri 10/21/2022
B
Wyoming 11/21/2022
SRO Registrations
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B
B
B
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Registered with this firm since 11/16/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/24/1999 - 06/01/2009 | PONTE VEDRA BEACH, FL | |
B | 05/26/1999 - 08/17/1999 | CHICAGO, IL | |
B | 12/18/1997 - 04/23/1999 | LONG ISLAND CITY, NY |
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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.
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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.
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