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Duc Tran

Ameriprise Financial Services, LLC
25 Years of Experience
Pasadena, CA
6 DisclosuresBroker
View SEC Summary
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Duc Tran is a registered investment advisor at Ameriprise Financial Services, LLC, based in Pasadena, CA, with 25 years of industry experience. Duc is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

242 S De Lacey Ave, Pasadena, CA, 91105-2006

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
April 2013
Customer Dispute
May 2012
Settled
Customer Dispute
May 2009
Denied
Customer Dispute
September 2008
Denied
Customer Dispute
September 2008
Settled
Customer Dispute
December 2005
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Duc owns multiple single-family real estate properties and another business. He also serves as Secretary on the Board of Directors for Tran, spending a few hours per week on each activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
June 2012 - Present · 14 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2012 - Present · 14 yrs 4 mos
Ameriprise Financial Services, LLC
June 2012 - Present · 14 yrs 4 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
March 2010 - June 2012 · 2 yrs 3 mos
Wells Fargo Advisors Financial Network, LLCBroker
March 2010 - June 2012 · 2 yrs 3 mos
Citigroup Global Markets INC.Broker
May 2007 - April 2010 · 2 yrs 11 mos
Citigroup Global Markets INC.
May 2007 - April 2010 · 2 yrs 11 mos
Citicorp Investment Services
January 2007 - May 2007 · 4 mos
Citicorp Investment ServicesBroker
January 2007 - May 2007 · 4 mos
Wm Financial Services, INC.
October 2006 - October 2006 · 0 mos
Wm Financial Services, INC.Broker
April 2004 - October 2006 · 2 yrs 6 mos
First Global Securities, INC.Broker
May 2003 - April 2004 · 11 mos
Wma Securities, INC.Broker
September 1998 - November 2000 · 2 yrs 2 mos
State Registrations22 states
AZCACOFLGAHIIDILMNNCNJNMNVNYOHOKORPATNTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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