Duc Tien Tran

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

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

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 → 03/2020
  Ameriprise Financial Services, Inc.
  Pasadena, CA
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Pasadena, CA

Previous Registrations

• 2010-03-19 → 2012-06-01
  Wells Fargo Advisors Financial Network, Llc
  Pasadena, CA
• 2007-05-29 → 2010-04-15
  Citigroup Global Markets Inc.
  Monrovia, CA
  Pasadena, CA
  Arcadia, CA
  Rosemead, CA
  Monrovia, CA
  Alhambra, CA
• 2007-01-12 → 2007-05-29
  Citicorp Investment Services
  Alhambra, CA
• 2006-10-13 → 2006-10-23
  Wamu Investments, Inc.
  Burbank, CA
  Temple City, CA
  Arcadia, CA

Other Businesses

Real Estate Ownership; Single Family; 17425 Arrow Blvd #2, Fontana CA, ,; ; 06/01/2006 / Single Family; 17425 Arrow Blvd #11, Fontana CA, ,; ; 06/01/2006. Business Ownership; Preferred Wealth Management Inc; ; Financial; 242 S. De Lacey Ave, Pasadena CA 91105, ,; Not Investment-Related; 02/10/2010; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Arrow Heights HOA; Secretary; 17425 Arrow Heights BlvdFontana CA 92335, ,; ; 07/01/2015; 1 to 9 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2003-07-06
• S63 Uniform Securities Agent State Law Examination
  1998-08-21