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Detailed Report
WINNIE HUE GIA TRUONG
WINNIE HUE TRUONG
CRD#: 4837369
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2001 N MAIN ST STE 410
[WZ-RBO]
WALNUT CREEK, CA 94596
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (14 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2007 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2007 (2 years)
License(s)

State Registrations

B
Alabama 5/10/2024
B
Missouri 3/7/2023
B
Arizona 5/10/2024
B
Montana 9/4/2024
B
Arkansas 6/28/2019
B
Nevada 3/7/2023
B
California 3/25/2011
B
North Carolina 3/7/2023
IA
California 3/25/2011
B
North Dakota 8/14/2023
B
Colorado 5/10/2024
B
Oklahoma 5/10/2024
B
Florida 3/7/2023
B
Oregon 3/20/2023
B
Georgia 5/10/2024
B
South Dakota 3/21/2025
B
Idaho 3/7/2023
B
Utah 6/28/2019
B
Louisiana 5/10/2024
B
Virginia 11/11/2021
B
Maryland 5/10/2024
B
Washington 5/10/2024
B
Massachusetts 6/28/2019
B
Wisconsin 5/10/2024
B
Michigan 5/10/2024

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2001 N MAIN ST STE 410 [WZ-RBO], WALNUT CREEK, CA 94596
Registered with this firm since 3/25/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2001 N MAIN ST STE 410 [WZ-RBO], WALNUT CREEK, CA 94596
Registered with this firm since 3/25/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/20/2007 - 03/25/2011 RBC CAPITAL MARKETS, LLC (CRD#:31194) SAN JOSE, CA
B
 11/20/2007 - 03/25/2011 RBC CAPITAL MARKETS, LLC (CRD#:31194) SAN JOSE, CA
IA
 04/19/2005 - 11/14/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
B
 09/03/2004 - 11/14/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.