Chloe T. Tran

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-06-29

TX RA
APPROVED

Since 2023-06-29

Branch Locations

20333 State Highway 249 Second Floor - Suite 248, Houston, TX 77070 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2012-11-27 → 2013-09-03

Walnut Street Securities, Inc.

Houston, TX

Other Businesses

1. I CURRENTLY PROVIDE ADMINISTRATIVE SUPPORT TO REGISTERED REP, GREGORY JAY BARCELLO, FOR TWO HOURS A WEEK, SINCE 7/2002; 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 11/18/2013, <1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, AND ANNUITIES;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-10-08

S66 Uniform Combined State Law Examination

2012-10-08

Other Names

Thuy Tuyet Tran

View on SEC IAPD