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Giang Tran

LPL Financial LLC
21 Years of Experience
San Diego, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Giang Tran is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 21 years of industry experience. Giang 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 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

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

Location

4707 Executive Dr, San Diego, CA, 92121-3091

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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.
Customer Dispute
December 2016
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Giang is a life insurance agent selling fixed insurance and long-term care products since 2007, dedicating minimal time to this activity. Giang also owns a rental property in San Diego, CA, since 2021, with a property manager handling day-to-day operations.

Employment History
Current Registrations
LPL Financial LLC
November 2025 - Present · 11 mos
LPL Financial LLC
November 2025 - Present · 11 mos
LPL Financial LLCBroker
November 2025 - Present · 11 mos
Previous Registrations
Cetera Investment Advisers LLC
June 2023 - November 2025 · 2 yrs 5 mos
Cetera Wealth Services, LLCBroker
September 2021 - November 2025 · 4 yrs 2 mos
Cetera Advisor Networks LLC
September 2021 - June 2023 · 1 yr 9 mos
Wells Fargo Clearing Services, LLC
June 2012 - September 2021 · 9 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
June 2012 - September 2021 · 9 yrs 3 mos
Chase Investment Services CORP.
May 2009 - June 2012 · 3 yrs 1 mo
Chase Investment Services CORP.Broker
May 2009 - June 2012 · 3 yrs 1 mo
Wamu Investments, INC.
June 2007 - May 2009 · 1 yr 11 mos
Wamu Investments, INC.Broker
June 2006 - May 2009 · 2 yrs 11 mos
Nylife Securities INC.Broker
January 2005 - March 2006 · 1 yr 2 mos
State Registrations8 states
CACOFLMDNMNVTNWA
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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