# CAO TRI TRAN

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.

## Registration history (12)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 2022-05-18 | present | Yes |
| [CUNA BROKERAGE SERVICES, INC.](https://search.stillhousedata.com/firm/13941) | 2019-03-15 | 2022-05-18 | — |
| [RBC SECURITIES, INC.](https://search.stillhousedata.com/firm/103705) | 2018-05-17 | 2019-03-04 | — |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 2016-12-09 | 2018-06-06 | — |
| [CITIGROUP GLOBAL MARKETS INC.](https://search.stillhousedata.com/firm/7059) | 2016-10-05 | 2016-12-16 | — |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 2015-06-26 | 2016-10-21 | — |
| [AMERIPRISE FINANCIAL SERVICES, LLC](https://search.stillhousedata.com/firm/6363) | 2011-06-24 | 2015-07-08 | — |
| [WELLS FARGO CLEARING SERVICES, LLC](https://search.stillhousedata.com/firm/19616) | 2011-01-03 | 2011-06-27 | — |
| [WELLS FARGO INVESTMENTS, LLC](https://search.stillhousedata.com/firm/10582) | 2005-06-02 | 2011-01-03 | — |
| [CUNA BROKERAGE SERVICES, INC.](https://search.stillhousedata.com/firm/13941) | 2005-03-04 | 2005-05-24 | — |
| [WAMU INVESTMENTS, INC.](https://search.stillhousedata.com/firm/599) | 2004-07-07 | 2005-01-05 | — |
| [CITICORP INVESTMENT SERVICES](https://search.stillhousedata.com/firm/23988) | 2004-03-04 | 2004-06-09 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/4106551)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/4106551.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.