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HAN TRAN
CRD#: 5206873
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 8850 BOLSA AVE
WESTMINSTER, CA 92683
Registration History
200620082010201220142016201820202022202420262 FIRMS2011 - 2013 (2 years)2 FIRMS2013 - Present (11 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2006 - 2011 (4 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2007 - 2011 (4 years)
Disclosure(s)
View By:
1/3/2013
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 1/4/2024

B
Nebraska 1/4/2024

B
Alaska 1/29/2024

B
Nevada 7/20/2016

B
Arizona 7/18/2016

B
New Hampshire 1/8/2024

B
Arkansas 1/17/2024

B
New Jersey 1/4/2024

IA
California 6/11/2013

B
New Mexico 1/4/2024

B
California 6/12/2013

B
New York 1/4/2024

B
Colorado 1/4/2024

B
North Carolina 1/4/2024

B
Connecticut 1/4/2024

B
North Dakota 1/8/2024

B
Delaware 1/22/2024

B
Ohio 1/4/2024

B
District of Columbia 1/4/2024

B
Oklahoma 1/8/2024

B
Florida 7/12/2016

B
Oregon 7/12/2016

B
Georgia 1/5/2024

B
Pennsylvania 1/4/2024

B
Hawaii 1/4/2024

B
Puerto Rico 1/15/2024

B
Idaho 1/4/2024

B
Rhode Island 1/4/2024

B
Illinois 1/16/2024

B
South Carolina 1/4/2024

B
Indiana 1/22/2024

B
South Dakota 1/4/2024

B
Iowa 1/5/2024

B
Tennessee 1/9/2024

B
Kansas 1/4/2024

B
Texas 7/11/2016

B
Kentucky 1/5/2024

IA
Texas 7/28/2016

B
Louisiana 1/10/2024

B
Utah 1/5/2024

B
Maine 1/4/2024

B
Vermont 1/4/2024

B
Maryland 1/9/2024

B
Virgin Islands 1/4/2024

B
Massachusetts 1/4/2024

B
Virginia 1/4/2024

B
Michigan 1/5/2024

B
Washington 1/21/2020

B
Minnesota 1/5/2024

B
West Virginia 1/16/2024

B
Mississippi 1/11/2024

B
Wisconsin 1/4/2024

B
Missouri 1/4/2024

B
Wyoming 1/8/2024

B
Montana 1/11/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
8850 BOLSA AVE, WESTMINSTER, CA 92683
Registered with this firm since 6/11/2013

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
8850 BOLSA AVE, WESTMINSTER, CA 92683
Registered with this firm since 6/11/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2011 - 01/23/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) FOUNTAIN VALLEY, CA
B
01/03/2011 - 01/23/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) FOUNTAIN VALLEY, CA
IA
01/22/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FOUNTAIN VALLEY, CA
B
11/17/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FOUNTAIN VALLEY, CA
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B
Broker
IA
Investment Adviser
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.