CAO TRI TRAN is an investment adviser representative (IAR) with state registration records since 2004, appearing at 9 firms. Currently registered with LPL FINANCIAL LLC.
| Firm | From | To | Current |
|---|---|---|---|
| LPL FINANCIAL LLC | 2022-05-18 | present | Yes |
| CUNA BROKERAGE SERVICES, INC. | 2019-03-15 | 2022-05-18 | — |
| RBC SECURITIES, INC. | 2018-05-17 | 2019-03-04 | — |
| LPL FINANCIAL LLC | 2016-12-09 | 2018-06-06 | — |
| CITIGROUP GLOBAL MARKETS INC. | 2016-10-05 | 2016-12-16 | — |
| LPL FINANCIAL LLC | 2015-06-26 | 2016-10-21 | — |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2011-06-24 | 2015-07-08 | — |
| WELLS FARGO CLEARING SERVICES, LLC | 2011-01-03 | 2011-06-27 | — |
| WELLS FARGO INVESTMENTS, LLC | 2005-06-02 | 2011-01-03 | — |
| CUNA BROKERAGE SERVICES, INC. | 2005-03-04 | 2005-05-24 | — |
| WAMU INVESTMENTS, INC. | 2004-07-07 | 2005-01-05 | — |
| CITICORP INVESTMENT SERVICES | 2004-03-04 | 2004-06-09 | — |