Giang Thanh Tran

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 06/2012 → 11/2016
  Wells Fargo Advisors
  Walnut Creek, CA
• 11/2016 → 09/2021
  Wells Fargo Clearing Services, Llc
  Walnut Creek, CA
• 09/2021 → 11/2025
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → 11/2025
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 11/2025 → Present
  Lpl Financial
  Hayward, CA

Previous Registrations

• 2023-06-29 → 2025-11-23
  Cetera Investment Advisers Llc
  Hayward, CA
  Concord, CA
  San Jose, CA
• 2021-09-07 → 2023-06-29
  Cetera Wealth Services, Llc
  Livermore, CA
  Hayward, CA
  San Jose, CA
• 2012-06-05 → 2021-09-14
  Wells Fargo Clearing Services, Llc
  Walnut Creek, CA
  Hayward, CA
  Walnut Creek, CA
• 2009-05-02 → 2012-06-04
  Chase Investment Services Corp.
  Hayward, CA
  Hayward, CA
• 2007-06-13 → 2009-05-02
  Wamu Investments, Inc.
  Fremont, CA
  Hayward, CA

Other Businesses

1. 09/2025 - Giang Tran - Real Estate Rental - Investment Related - 0 Hrs/Mth - 0 Hrs During Trading - San Diego, CA 92110 - OBA Start Date: 06/01/2021

Exams

• S66 Uniform Combined State Law Examination
  2007-02-05
• S63 Uniform Securities Agent State Law Examination
  2005-01-07