Individual Firm
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NGUYEN C TRAN
CRD#: 4753514
IA
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OSAIC WEALTH, INC.CRD#: 23131 Los Angeles, CA
0
Disclosures
20
Years of Experience
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State Registrations
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Arizona 6/14/2024
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Missouri 6/14/2024
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California 6/14/2024
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Montana 6/14/2024
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California 6/14/2024
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Nevada 6/14/2024
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Colorado 6/14/2024
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New York 6/14/2024
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Florida 6/14/2024
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North Carolina 6/14/2024
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Hawaii 6/14/2024
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Texas 6/14/2024
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Maine 6/14/2024
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Texas 6/14/2024
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Massachusetts 6/14/2024
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Washington 6/14/2024
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Minnesota 6/14/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/06/2020 - 06/14/2024 | LOS ANGELES, CA | |
B | 11/06/2020 - 06/14/2024 | Los Angeles, CA | |
IA | 07/01/2019 - 11/06/2020 | Los Angeles, CA | |
B | 11/01/2016 - 11/06/2020 | Los Angeles, CA | |
B | 06/16/2009 - 11/03/2016 | LOS ALAMITOS, CA | |
B | 03/03/2009 - 04/03/2009 | IRVINE, CA | |
B | 07/26/2004 - 03/09/2009 | LOS ALAMITOS, CA | |
B | 04/12/2004 - 07/19/2004 | MILWAUKEE, WI |
For additional information about investment advisers or broker-dealers, please visit
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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.
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.