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Dieu Tran

Strategic Advisers LLC

Los Gatos, CA

San Jose, CA

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-08
CA RA APPROVED 2025-03-31
  • TX RA
    APPROVED
    Since 2026-01-08
  • CA RA
    APPROVED
    Since 2025-03-31

Branch Locations

434 N Santa Cruz Ave, Los Gatos, CA 95030-5321 • United States

San Jose, 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
Wells Fargo Bank, N.A. San Clara CA 02/2005 11/2016
Wells Fargo Advisors Llc Santa Clara CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Santa Clara CA 11/2016 06/2017
Citigroup San Jose CA 06/2017 12/2021
Morgan Stanley Smith Barney Llc Cupertino CA 12/2021 08/2024
Morgan Stanley Private Bank, N.A. New York NY 12/2021 08/2024
Fidelity Investments Los Gatos CA 09/2024 Present
Fidelity Investments Boston MA 03/2025 Present
  • 02/2005 → 11/2016
    Wells Fargo Bank, N.A.
    San Clara, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Santa Clara, CA
  • 11/2016 → 06/2017
    Wells Fargo Clearing Services, Llc
    Santa Clara, CA
  • 06/2017 → 12/2021
    Citigroup
    San Jose, CA
  • 12/2021 → 08/2024
    Morgan Stanley Smith Barney Llc
    Cupertino, CA
  • 12/2021 → 08/2024
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 09/2024 → Present
    Fidelity Investments
    Los Gatos, CA
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2024-10-18 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Los Gatos, CA
  • 2021-12-03 → 2024-08-29
    Morgan Stanley
    Cupertino, CA
  • 2017-06-12 → 2021-12-06
    Citigroup Global Markets Inc.
    San Jose, CA
    San Francisco, CA
    San Jose, CA
    Sunnyvale, CA
    San Francisco, CA
    San Francisco, CA
    Santa Clara, CA
    Santa Clara, CA
    Westlake Village, CA
    San Francisco, CA
    Fresno, CA
  • 2011-01-03 → 2017-05-16
    Wells Fargo Clearing Services, Llc
    Santa Clara, CA
    San Jose, CA
    San Jose, CA
    Santa Clara, CA
    San Jose, CA
  • 2008-05-09 → 2011-01-03
    Wells Fargo Investments, Llc
    San Jose, CA
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-08
  • S66 Uniform Combined State Law Examination
    2008-05-08
Other Names
  • Lily Tran
  • Dieu Tran
  • Dieu Tran

View on SEC IAPD

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REACT INVESTMENT SOLUTIONS, LLC
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INTEGRITY ALLIANCE, LLC.
CHARLES SCHWAB & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LOS GATOS FINANCIAL LLC
MAINSTREET FINANCIAL PLANNING, INC.

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
ELYSSA JOY QUILLA VERZOSA
ANTONIO LUCIANO ARLIA

Other Offices

J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
LOS GATOS FINANCIAL LLC · LOS GATOS, CA
MAINSTREET FINANCIAL PLANNING, INC. · LOS GATOS, CA

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