Loc Cat Tran

Current Employers

Jhl Investment Firm Inc

9042 Garden Grove Blvd Ste 200, Westminster, CA 92683 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-04-15

CA RA
APPROVED

Since 2025-04-15

Branch Locations

9042 Garden Grove Blvd Ste 200, Westminster, CA 92683 • 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

Organization	City	State	From	To
Tran Insurance Agency	Huntington Beach	CA	10/2016	Present
Lords Insurance Agency	Huntington Beach	CA	05/2011	Present
Jhl Investment Firm Inc	Westminster	CA	08/2018	Present

10/2016 → Present

Tran Insurance Agency

Huntington Beach, CA
05/2011 → Present

Lords Insurance Agency

Huntington Beach, CA
08/2018 → Present

Jhl Investment Firm Inc

Westminster, CA

Other Businesses

1) Tran Insurance Agency; investment related; 15613 Beach Blvd, Westminster CA 92683; insurance agency; CEO/insurance agent; 10/2016; 32 hours per month; 0 hours during trading hours; sell life and health insurance and annuities. 2) Lords Insurance Agency Inc; investment related; 15613 Beach Blvd, Westminster, CA 92683; insurance agency; insurance agent; 05/2011; sell property casualty insurance. Seasonal tax preparer since 10/2018

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-07-09

S65 Uniform Investment Adviser Law Examination

2018-07-09