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PETER TRAN
CRD#: 6178948
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 555 FOOTHILL BLVD
LA CANADA, CA 91011
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2021 (8 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2021 (6 years)
License(s)

State Registrations

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California 9/29/2021

B
New York 1/23/2025

IA
California 9/29/2021

B
Virginia 8/15/2023

B
Maine 2/22/2023

B
Washington 9/29/2021

B
Nevada 2/22/2023

SRO Registrations

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Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

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New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
555 FOOTHILL BLVD, LA CANADA, CA 91011
7315 N FIGUEROA ST STE 108, LOS ANGELES, CA 90041
Registered with this firm since 9/29/2021

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
555 FOOTHILL BLVD, LA CANADA, CA 91011
7315 N FIGUEROA ST STE 108, LOS ANGELES, CA 90041
Registered with this firm since 9/29/2021

Previous Registration(s)
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IA
09/28/2015 - 09/30/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) MONTEREY PARK, CA
B
06/21/2013 - 09/30/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) MONTEREY PARK, 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.