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Detailed Report
Yvonne Thao Tran
YVONNE THAO TRAN, Yvonne Tran
CRD#: 5971280
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 225 West Santa Clara Street
Suite 900
San Jose, CA 95113
Registration History
201220142016201820202022202420262 FIRMS2018 - Present (6 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2011 - 2018 (6 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2012 - 2018 (6 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nebraska 2/22/2019
B
Alaska 4/29/2022
B
Nevada 3/4/2019
B
Arizona 11/27/2020
B
New Hampshire 5/25/2022
B
Arkansas 2/20/2019
B
New Jersey 5/25/2022
IA
California 8/9/2018
B
New Mexico 2/21/2019
B
California 8/10/2018
B
New York 10/10/2019
B
Colorado 5/11/2022
B
North Carolina 2/21/2019
B
Connecticut 5/11/2022
B
North Dakota 2/25/2019
B
Delaware 5/11/2022
B
Ohio 5/27/2022
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 2/21/2019
B
Oregon 5/25/2022
B
Georgia 2/21/2019
B
Pennsylvania 5/25/2022
B
Hawaii 5/25/2022
B
Puerto Rico 3/5/2019
B
Idaho 5/25/2022
B
Rhode Island 3/1/2019
B
Illinois 4/29/2019
B
South Carolina 2/20/2019
B
Indiana 2/21/2019
B
South Dakota 2/20/2019
B
Iowa 5/25/2022
B
Tennessee 5/25/2022
B
Kansas 5/25/2022
B
Texas 2/26/2019
B
Kentucky 5/25/2022
IA
Texas 2/20/2020
B
Louisiana 5/25/2022
B
Utah 2/21/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 6/25/2019
B
Virginia 5/25/2022
B
Michigan 5/25/2022
B
Washington 2/20/2019
B
Minnesota 2/21/2019
B
West Virginia 5/25/2022
B
Mississippi 2/21/2019
B
Wisconsin 2/20/2019
B
Missouri 4/29/2022
B
Wyoming 5/25/2022
B
Montana 6/15/2021

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
225 West Santa Clara Street Suite 900, San Jose, CA 95113
San Jose, CA
Registered with this firm since 8/9/2018
B
MORGAN STANLEY (CRD#:149777)
225 West Santa Clara Street Suite 900, San Jose, CA 95113
San Jose, CA
Registered with this firm since 8/9/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/24/2012 - 07/24/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) CUPERTINO, CA
B
 11/01/2011 - 07/24/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) CUPERTINO, 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.