Duc Tran
Duc Tran is a registered investment advisor at Ameriprise Financial Services, LLC, based in Pasadena, CA, with 24 years of industry experience. Duc operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
242 S De Lacey Ave, Pasadena, CA, 91105-2006
Get directionsHistory
Regulatory History (6)
Judgment / Lien
April 2013Customer Dispute
May 2012Customer Dispute
May 2009Customer Dispute
September 2008Customer Dispute
September 2008Customer Dispute
December 2005Other 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
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Citicorp Investment Services
Citicorp Investment ServicesBroker
Wm Financial Services, INC.
Wm Financial Services, INC.Broker
First Global Securities, INC.Broker
Wma Securities, INC.Broker
State Registrations22 states
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.