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Kevin Tran

Allstate Financial Advisors, LLC
17 Years of Experience
San Jose, CA
1 DisclosureBroker
View SEC Summary
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Kevin Tran is a registered investment advisor at Allstate Financial Advisors, LLC, based in San Jose, CA, with 17 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 397 clients with $140M in assets under management.

Allstate Financial Advisors, LLC
Compensation
N/A
Firm Size
326 advisors
Number of Clients
397 clients
Average Client Portfolio
$359K average
Assets Under Management
$142.4M

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.35%
$500K - $1.0M1.25%
$1.0M - $2.0M1.15%
$2.0M - $5.0M1.00%
$5M+0.80%

Fees represent maximum rates across available programs (Fund Strategist Portfolios and Unified Managed Accounts). Investment advisory representatives are permitted to negotiate a reduction in the advisory fee.

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

Location

1125 Saratoga Ave, San Jose, CA, 95129-3424

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History

Regulatory History (1)
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.
Employment Separation After Allegations
October 2025
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Allstate Financial Advisors, LLC
August 2026 - Present · 2 mos
Allstate Financial Services, LLCBroker
August 2026 - Present · 2 mos
Previous Registrations
LPL Financial LLC
July 2026 - August 2026 · 1 mo
LPL Financial LLCBroker
July 2026 - August 2026 · 1 mo
Wells Fargo Advisors
December 2022 - November 2025 · 2 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
December 2022 - November 2025 · 2 yrs 11 mos
Charles Schwab & CO., INC.Broker
June 2022 - January 2023 · 7 mos
Charles Schwab & CO., INC.
June 2022 - December 2022 · 6 mos
TD Ameritrade, INC.Broker
February 2022 - January 2023 · 11 mos
TD Ameritrade Investment Management, LLC
February 2022 - December 2022 · 10 mos
TD Ameritrade, INC.
February 2022 - October 2022 · 8 mos
Citigroup Global Markets INC.
July 2019 - February 2022 · 2 yrs 7 mos
Citigroup Global Markets INC.Broker
July 2019 - February 2022 · 2 yrs 7 mos
Wells Fargo Clearing Services, LLCBroker
April 2013 - July 2019 · 6 yrs 3 mos
Wells Fargo Clearing Services, LLC
April 2013 - July 2019 · 6 yrs 3 mos
Morgan StanleyBroker
January 2013 - April 2013 · 3 mos
Morgan Stanley
January 2013 - April 2013 · 3 mos
Morgan Stanley Smith Barney LLC
February 2011 - February 2012 · 1 yr
Morgan Stanley Smith BarneyBroker
September 2010 - February 2012 · 1 yr 5 mos
Citicorp Investment ServicesBroker
May 2006 - April 2007 · 11 mos
Loring Ward Securities INC.Broker
January 2006 - March 2006 · 2 mos
Scottrade, INC.Broker
May 2004 - January 2006 · 1 yr 8 mos
State Registrations1 state
CA
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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