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Ha Thi Ngoc Tran

Morgan Stanley

Kirkland, WA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-08-13
WA RA APPROVED 2026-08-13
  • TX RA
    APPROVED
    Since 2026-08-13
  • WA RA
    APPROVED
    Since 2026-08-13

Branch Locations

4000 Carillon Point Suite 600, Kirkland, WA 98033 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lynnwood WA 03/2019 08/2026
Bank Of America, N.A. Lynnwood WA 03/2019 08/2026
Wpi Real Estate Seattle WA 04/2017 03/2019
Tony & Co. Llc Seattle WA 04/2015 03/2019
Windermere Real Estate Seattle WA 07/2015 01/2017
Westwood Mortgage Inc. Seattle WA 02/2017 05/2017
Morgan Stanley Smith Barney Llc Kirkland WA 08/2026 Present
  • 03/2019 → 08/2026
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lynnwood, WA
  • 03/2019 → 08/2026
    Bank Of America, N.A.
    Lynnwood, WA
  • 04/2017 → 03/2019
    Wpi Real Estate
    Seattle, WA
  • 04/2015 → 03/2019
    Tony & Co. Llc
    Seattle, WA
  • 07/2015 → 01/2017
    Windermere Real Estate
    Seattle, WA
  • 02/2017 → 05/2017
    Westwood Mortgage Inc.
    Seattle, WA
  • 08/2026 → Present
    Morgan Stanley Smith Barney Llc
    Kirkland, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-26
  • S66 Uniform Combined State Law Examination
    2019-07-26
Other Names
  • Ha Thi Ngoc Tran
  • Helen Tran
  • Ha T Tran
  • Ha Tran

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · KIRKLAND, WA
RAYMOND JAMES & ASSOCIATES, INC. · Kirkland, WA
LPL FINANCIAL LLC · KIRKLAND, WA
PRIVATE ASSET MANAGEMENT INC · KIRKLAND, WA
RBC CAPITAL MARKETS, LLC · KIRKLAND, WA
ROBINSWOOD FINANCIAL · KIRKLAND, WA
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