Tuan Minh Tran

Current Employers

Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-09-13

CA RA
APPROVED

Since 2019-09-13

Branch Locations

500 Newport Center Dr Ste 850, Newport Beach, CA 92660 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Newport Beach	CA	06/2012	11/2016
Wells Fargo Clearing Services, Llc	Newport Beach	CA	11/2016	09/2019
Wedbush Securities, Inc.	Newport Beach	CA	09/2019	Present

06/2012 → 11/2016

Wells Fargo Advisors, Llc

Newport Beach, CA
11/2016 → 09/2019

Wells Fargo Clearing Services, Llc

Newport Beach, CA
09/2019 → Present

Wedbush Securities, Inc.

Newport Beach, CA

Previous Registrations

2012-06-29 → 2019-09-17

Wells Fargo Clearing Services, Llc

Newport Beach, CA
2009-06-01 → 2012-07-27

Morgan Stanley

Newport Beach, CA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Newport Beach, CA
2006-09-29 → 2007-04-02

Morgan Stanley Dw Inc.

Newport Beach, CA
2002-08-01 → 2006-09-29

Wells Fargo Investments, Llc

Fountain Valley, CA

Fountain Valley, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-08-04

S66 Uniform Combined State Law Examination

2000-08-04

Other Names

Tuan M Tran

View on SEC IAPD

Current Employers

Wedbush Securities Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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