Keith H Tran

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 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

• 07/2011 → Present
  Ubs Financial Services Inc
  Irvine, CA

Previous Registrations

• 2009-10-23 → 2011-07-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fullerton, CA
  Newport Beach, CA
  Brea, CA
• 2006-06-16 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Newport Beach, CA
  Fullerton, CA
• 1997-07-08 → 2006-06-20
  Morgan Stanley Dw Inc.
  Irvine, CA
  Irvine, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-04-12
• S63 Uniform Securities Agent State Law Examination
  1991-09-03

Other Names

• Ky Tran
• Ky H Tran
• Keith Tran