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Christine B Tran
Christine Bao Tran, Christine Tran
CRD#: 6770852
IA
B
PNC INVESTMENTSCRD#: 129052 Houston, TX
0
Disclosures
5
Years of Experience
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State Registrations
B
Alabama 10/18/2023
B
Missouri 10/19/2023
B
Arizona 10/20/2023
B
New Jersey 12/5/2023
B
California 8/15/2023
B
New Mexico 10/20/2023
B
Colorado 7/27/2023
B
New York 10/19/2023
B
Delaware 10/23/2023
B
North Carolina 10/19/2023
B
District of Columbia 10/19/2023
B
Ohio 10/18/2023
B
Florida 8/16/2023
B
Pennsylvania 10/19/2023
B
Georgia 10/20/2023
B
South Carolina 10/23/2023
B
Illinois 8/18/2023
IA
Texas 6/2/2023
B
Indiana 10/19/2023
B
Texas 6/4/2023
B
Kentucky 10/19/2023
B
Virginia 10/19/2023
B
Maryland 10/20/2023
B
West Virginia 10/23/2023
B
Michigan 10/20/2023
B
Wisconsin 10/19/2023
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/02/2019 - 06/02/2021 | Houston, TX | |
B | 12/13/2017 - 06/02/2021 | HOUSTON, TX |
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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.