Michael T Tran

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 04/2019
  Charles Schwab & Co., Inc.
  San Francisco, CA
• 05/2019 → 09/2025
  Fidelity Brokerage Services
  Palo Alto, CA
• 09/2025 → Present
  Rbc Capital Markets, Llc
  Walnut Creek, CA

Previous Registrations

• 2025-03-31 → 2025-10-02
  Strategic Advisers Llc
  Martinez, CA
  Vallejo, CA
  Larkspur, CA
  San Rafael, CA
  Boston, MA
• 2019-06-05 → 2025-03-31
  Fidelity Personal And Workplace Advisors
  Palo Alto, CA
• 2016-05-03 → 2019-04-29
  Charles Schwab & Co., Inc.
  Oakland, CA
  San Francisco, CA
  Cupertino, CA
• 2015-05-06 → 2016-04-06
  Strategic Advisers Llc
  Berkeley, CA
• 2013-07-26 → 2014-03-10
  Morgan Stanley
  Walnut Creek, CA

Exams

• S66 Uniform Combined State Law Examination
  2013-07-25

Other Names

• Michael Thomas Tran