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Thuc Tri Tran

Citigroup Global Markets Inc.

Los Angeles, CA

San Gabriel, CA

Los Angeles, CA

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Current Employers
Citigroup Global Markets Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-11-24
  • CA RA
    APPROVED
    Since 2025-11-24

Branch Locations

Cwm Retail, Sales 300 S. Fairfax Ave., Los Angeles, CA 90036 • United States

San Gabriel, CA • United States

Citi Wealth Management, Sales 300 South Grand Avenue, Fl 31, Los Angeles, CA 90071 • 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
Hsbc Securities (Usa) Inc. Torrance CA 04/2013 11/2025
Hsbc Bank Usa, N.A. Torrance CA 08/2016 11/2025
Citigroup Los Angeles CA 11/2025 Present
  • 04/2013 → 11/2025
    Hsbc Securities (Usa) Inc.
    Torrance, CA
  • 08/2016 → 11/2025
    Hsbc Bank Usa, N.A.
    Torrance, CA
  • 11/2025 → Present
    Citigroup
    Los Angeles, CA
Previous Registrations
  • 2012-02-21 → 2025-11-28
    Hsbc Securities (Usa) Inc.
    Torrance, CA
    Rolling Hills Estates, CA
    Rolling Hills Estates, CA
    Garden Grove, CA
    Long Beach, CA
    Beverly Hills, CA
    Arcadia, CA
  • 2010-06-01 → 2011-12-22
    Wells Fargo Clearing Services, Llc
    Riverside, CA
  • 2009-05-02 → 2010-06-07
    Chase Investment Services Corp.
    Redlands, CA
  • 2008-06-30 → 2009-05-02
    Wamu Investments, Inc.
    Monterey Park, CA
    Redlands, CA
    Monterey Park, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-27
S63 Uniform Securities Agent State Law Examination 2005-03-29
  • S65 Uniform Investment Adviser Law Examination
    2008-06-27
  • S63 Uniform Securities Agent State Law Examination
    2005-03-29
Other Names
  • Tuc Tri Tran

View on SEC IAPD

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WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
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