Xuan Thi Tran

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 05/2004 → 03/2019
  Wells Fargo Bank Na
  Fremont, CA
• 08/2013 → 11/2016
  Wells Fargo Advisors Llc
  Fremont, CA
• 11/2016 → 03/2019
  Wells Fargo Clearing Services, Llc
  Fremont, CA
• 04/2019 → Present
  Lpl Financial Llc
  Palo Alto, CA

Other Businesses

1)03/28/2019 - CB&T Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2)03/28/2019 - ZB, N.A. (CB&T} - Financial Institution Duty - inv rel- at reported business location(s) - start: 02/2019 3)03/28/2019 - Notary - state of CA - inv rel - start: 03/2019

Exams

• S66 Uniform Combined State Law Examination
  2023-01-06
• S63 Uniform Securities Agent State Law Examination
  2014-03-11

Other Names

• Linda Tran
• Linda Xuan Tran