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THUC TRI TRAN
TUC TRI TRAN
CRD#: 4913927
IA
B
HSBC SECURITIES (USA) INC.CRD#: 19585 1107 S. Baldwin Avenue
Suite C
Arcadia, CA 91007
Suite C
Arcadia, CA 91007
0
Disclosures
19
Years of Experience
View By:
State Registrations
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Alaska 1/16/2025
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Michigan 1/10/2024
B
Arizona 9/1/2016
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Missouri 10/1/2024
B
California 2/21/2012
IA
Missouri 10/10/2024
IA
California 2/21/2012
B
Nevada 6/26/2013
B
Colorado 8/9/2019
B
New Jersey 1/18/2018
IA
Colorado 4/13/2020
B
New York 6/7/2017
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Connecticut 3/22/2016
IA
New York 10/20/2022
B
Delaware 10/1/2024
B
North Carolina 7/1/2013
IA
Delaware 10/21/2024
B
Ohio 8/27/2014
B
Florida 6/23/2014
B
Oregon 10/1/2024
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Georgia 4/10/2017
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Pennsylvania 9/1/2016
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Georgia 2/10/2022
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South Dakota 10/15/2012
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Illinois 4/10/2020
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Texas 10/10/2012
B
Indiana 2/28/2018
IA
Texas 10/12/2017
B
Kentucky 2/5/2018
B
Virginia 2/26/2025
B
Maryland 11/15/2016
B
Washington 4/26/2013
B
Massachusetts 10/1/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/21/2012
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Registered with this firm since 2/21/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2010 - 12/22/2011 | RIVERSIDE, CA | |
B | 05/28/2010 - 12/22/2011 | RIVERSIDE, CA | |
IA | 05/02/2009 - 06/07/2010 | REDLANDS, CA | |
B | 05/02/2009 - 06/07/2010 | REDLANDS, CA | |
IA | 06/30/2008 - 05/02/2009 | REDLANDS, CA | |
B | 03/23/2005 - 05/02/2009 | REDLANDS, CA |
For additional information about investment advisers or broker-dealers, please visit
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.