Duke Nhien Tran

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-08-25

TX RA
APPROVED

Since 2016-08-25

Branch Locations

Dallas, TX • United States

3838 Oak Lawn Ave Ste 1000, Dallas, TX 75219 • 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
Commonwealth Financial Network	San Diego	CA	08/2016	Present

08/2016 → Present

Commonwealth Financial Network

San Diego, CA

Previous Registrations

2009-02-27 → 2016-09-01

Rbc Capital Markets, Llc

Dallas, TX
2000-04-27 → 2009-03-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Dallas, TX

Other Businesses

1) CO-OWNER OF BOX MAC, LLC, DBA 'RYANNE EVENT DESIGN', ENTITY THAT CONDUCTS EVENT PLANNING AND DESIGNING. NOT INVESTMENT RELATED AND NOT CONDUCTED FROM BRANCH LOCATION. 2) OWNER OF DUKE WEALTH MANAGEMENT, LLC, ENTITY CREATED TO FACILITATE SECURITIES, ADVISORY, AND INSURANCE BUSINESS. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. 3) FIXED INSURANCE SALES CONDUCTED UNDER DUKE WEALTH MANAGEMENT, LLC. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-04-04

S66 Uniform Combined State Law Examination

2000-04-04

View on SEC IAPD