Cao Tran is a registered investment advisor at LPL Financial LLC, based in Long Beach, CA, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
4001 N Lakewood Blvd. Ste. 120, Long Beach, CA, 90808
Get directionsHistory
Regulatory History (2)
Customer Dispute
February 2008Customer Dispute
March 2003Other Business Activities
Cao has DBAs for his LPL business and works as a financial advisor at SchoolFirst FCU since 2019. These activities require minimal time commitment.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
City National Securities, INC.
City National Securities, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Wells Fargo Investments, LLCBroker
Wells Fargo Investments, LLC
CUNA Brokerage Services, INC.Broker
CUNA Brokerage Services, INC.
Wm Financial Services, INC.
Wm Financial Services, INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Wm Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
Simmers Capital Management CorporationBroker
State Registrations25 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.