Nguyen C Tran

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → 09/2016
  Mass Mutual Life Insurance Company
  Los Angeles, CA
• 03/2009 → 09/2016
  Mml Investors Services, Inc.
  Los Angeles, CA
• 09/2016 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Los Angeles, CA
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Los Angeles, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Los Angeles, CA

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Los Angeles, CA
• 2019-07-01 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  Los Angeles, CA
  Seattle, WA

Other Businesses

1. WIN WEALTH SOLUTIONS POSITION: advisor NATURE: Health Insurance, Life insurance, Disability Insurance and Long-Term Care INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2019 ADDRESS: 235 S. Gramercy Place, Los Angeles CA 90004 DESCRIPTION: Sale and servicing of Life, Health, Disability, and Long-Term Care. 2. DBA - Win Wealth Solutions 3. WIN WEALTH SOLUTIONS POSITION: advisor NATURE: Health Insurance, Life insurance, Disability Insurance and Long Term Care INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2019 ADDRESS: 235 S. Gramercy Place, Los Angeles CA 90004, United States DESCRIPTION: Sale and servicing of Life, Health, Disability, and Long Term Care.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-06-29
• S63 Uniform Securities Agent State Law Examination
  2004-07-20