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Tommy Tho Tran

Citigroup Global Markets Inc.

Garden Grove, CA

Fountain Valley, CA

Fountain Valley, CA

Aliso Viejo, CA

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-28
CA RA APPROVED 2016-04-25
  • TX RA
    APPROVED_RES
    Since 2025-05-28
  • CA RA
    APPROVED
    Since 2016-04-25

Branch Locations

Cwm Retail, Sales 9669 Chapman Ave, Garden Grove, CA 92841 • United States

Cwm Retail, Sales 17400 Brookhurst Street, Suite 102, Fountain Valley, CA 92708 • United States

Citi Wealth Management, Sales 17400 Brookhurst St. Suite 200, Fountain Valley, CA 92708 • United States

Aliso Viejo, CA • 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
OrganizationCityStateFromTo
Citigroup Tustin CA 04/2016 Present
  • 04/2016 → Present
    Citigroup
    Tustin, CA
Previous Registrations
  • 2014-10-21 → 2016-05-12
    Bancwest Investment Services, Inc.
    La Habra, CA
    Irvine, CA
    Garden Grove, CA
    Tustin, CA
    Santa Ana, CA
    Stanton, CA
    Anaheim, CA
    La Mirada, CA
    Fullerton, CA
  • 2012-10-01 → 2013-11-22
    J.P. Morgan Securities Llc
    Westminster, CA
    Garden Grove, CA
  • 2011-07-08 → 2012-10-01
    Chase Investment Services Corp.
    Westminster, CA
  • 2007-08-02 → 2007-09-25
    Ameriprise Financial Services, Llc
    Glendale, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-01
  • S66 Uniform Combined State Law Examination
    2007-08-01

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · GARDEN GROVE, CA
J.P. MORGAN SECURITIES LLC · GARDEN GROVE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN GROVE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Garden Grove, CA
EAGLE STRATEGIES LLC · GARDEN GROVE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Garden Grove, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ANAHEIM, CA
WILSON FINANCIAL ADVISORS, LLC · GARDEN GROVE, CA

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