Steven Tran

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-09-15
TX	RA	APPROVED	2022-09-15

CA RA
APPROVED

Since 2022-09-15
TX RA
APPROVED

Since 2022-09-15

Branch Locations

1551 N Tustin Ave Ste 100, Santa Ana, CA 92705 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Corona	CA	12/2015	11/2016
Wells Fargo Clearing Services, Llc	Corona	CA	11/2016	09/2022
Wells Fargo Advisors Financial Network, Llc	Irvine	CA	09/2022	Present

12/2015 → 11/2016

Wells Fargo Advisors Llc

Corona, CA
11/2016 → 09/2022

Wells Fargo Clearing Services, Llc

Corona, CA
09/2022 → Present

Wells Fargo Advisors Financial Network, Llc

Irvine, CA

Previous Registrations

2015-04-02 → 2022-09-15

Wells Fargo Clearing Services, Llc

Corona, CA

San Diego, CA

Irvine, CA

Other Businesses

NOTARY PUBLIC, NOT INVT RELATED, RIVERSIDE, CA, NOTARY, START 3/1/2021, 2 HRS PER MONTH, 0 HRS DURING TRADING, NOTARIZE DOCUMENTS. TRAN CAPITAL, INV RELATED, IRVINE, CA, 100% OWNERSHIP, START: 9/19/2022, 2 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-04-02
S63	Uniform Securities Agent State Law Examination	2013-11-30

S66 Uniform Combined State Law Examination

2015-04-02
S63 Uniform Securities Agent State Law Examination

2013-11-30

Other Names

Steven Andrew Tran

View on SEC IAPD