Tuong-Vy Tran is a registered investment advisor, based in Littleton, CO, with 17 years of industry experience.
Location
Littleton, CO
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Tuong-Vy is a signer of a bank account for Cooler By The Sea, LLC, a seafood distribution business, since 2016. She dedicates minimal time to this non-investment related activity.
Employment History
Current Registrations
Empower Advisory Group, LLC
May 2023 - Present · 3 yrs
Empower Financial Services, INC.Broker
May 2023 - Present · 3 yrs
Empower Financial Services, INC.
May 2023 - Present · 3 yrs
Previous Registrations
J.P. Morgan Securities LLCBroker
June 2013 - April 2023 · 9 yrs 10 mos
J.P. Morgan Securities LLC
June 2013 - April 2023 · 9 yrs 10 mos
Wells Fargo Advisors, LLC
January 2011 - June 2013 · 2 yrs 5 mos
Wells Fargo Advisors, LLCBroker
January 2011 - June 2013 · 2 yrs 5 mos
Wells Fargo Investments, LLC
January 2009 - January 2011 · 2 yrs
Wells Fargo Investments, LLCBroker
December 2008 - January 2011 · 2 yrs 1 mo
State Registrations46 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.