Sandy Tran

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 04/2015 → 05/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA
• 03/2018 → 05/2022
  Bank Of America, N.A.
  San Jose, CA
• 05/2022 → Present
  Rockefeller Financiall Llc
  Campbell, CA

Previous Registrations

• 2017-01-19 → 2022-05-31
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA
  San Jose, CA

Other Businesses

I*122991 For profit or not for profit: For-Profit Organization Name of outside business organization: Nipxnip Investment related: N Address of business: Austin, Texas 78753 Nature of business: General Partnership, Position, title, association: General Partner, Start date of relationship: 10/1/2018 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Online retail women's accessories store

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-01-18
• S63 Uniform Securities Agent State Law Examination
  2016-10-11

Other Names

• Sandy Tran
• Sandy T Manu