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Richard Tran

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Long Beach, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-10-16
CA RA APPROVED 2019-07-26
  • TX RA
    APPROVED
    Since 2019-10-16
  • CA RA
    APPROVED
    Since 2019-07-26

Branch Locations

2240 N Bellflower Blvd, Long Beach, CA 90815 • 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 Newport Beach CA 06/2017 Present
Bank Of America, N.A. Newport Beach CA 06/2017 Present
Vaporholic Garden Grove CA 05/2014 05/2017
Dossier Liquids Garden Grove CA 08/2015 05/2017
  • 06/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newport Beach, CA
  • 06/2017 → Present
    Bank Of America, N.A.
    Newport Beach, CA
  • 05/2014 → 05/2017
    Vaporholic
    Garden Grove, CA
  • 08/2015 → 05/2017
    Dossier Liquids
    Garden Grove, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-25
  • S66 Uniform Combined State Law Examination
    2019-07-25
Other Names
  • Richard V Tran

View on SEC IAPD

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Other Offices

EDWARD JONES · LONG BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Long Beach, CA
STIFEL, NICOLAUS & COMPANY, INCORPORATED · LONG BEACH, CA
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STATE FARM INVESTMENT MANAGEMENT CORP. · Long Beach,, CA
KENSINGTON INVESTMENT COUNSEL · LONG BEACH, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · LONG BEACH, CA
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