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John Tran

LPl Enterprise, LLC

Baldwin Park, CA

Orange, CA

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Baldwin Park, CA • United States

600 City Parkway West Suite 210, Orange, CA 92868 • 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
Jp Morgan Securities Llc Montebello CA 09/2014 11/2017
Jp Morgan Chase Bank Montebello CA 09/2014 11/2017
Pruco Securities, Llc. Orange CA 04/2018 11/2024
Unemployed Rosemead CA 11/2017 04/2018
Prudential Insurance Company Of America Orange CA 05/2018 Present
Lpl Enterprise, Llc Orange CA 11/2024 Present
  • 09/2014 → 11/2017
    Jp Morgan Securities Llc
    Montebello, CA
  • 09/2014 → 11/2017
    Jp Morgan Chase Bank
    Montebello, CA
  • 04/2018 → 11/2024
    Pruco Securities, Llc.
    Orange, CA
  • 11/2017 → 04/2018
    Unemployed
    Rosemead, CA
  • 05/2018 → Present
    Prudential Insurance Company Of America
    Orange, CA
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Orange, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-02-23
S63 Uniform Securities Agent State Law Examination 2014-10-23
  • S65 Uniform Investment Adviser Law Examination
    2022-02-23
  • S63 Uniform Securities Agent State Law Examination
    2014-10-23

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
EAGLE STRATEGIES LLC
CETERA INVESTMENT ADVISERS LLC
PFS INVESTMENTS INC.

Other Investors

Miguel Rodriguez
Rodzl R. De Los Reyes
Ricardo Rosas
RICARDO HERNAN MEDINA
Luis Adrian Pascual Curiel
KHUSHWANT SINGH THANDI
ANDRES HYUNCHUL HAN
Peter D Hang

Other Offices

J.P. MORGAN SECURITIES LLC · BALDWIN PARK, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BALDWIN PARK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Baldwin Park, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WEST COVINA, CA
LPL FINANCIAL LLC · WEST COVINA, CA
J.P. MORGAN SECURITIES LLC · WEST COVINA, CA
OSAIC WEALTH, INC. · WEST COVINA, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · West Covina, CA

More in Baldwin Park, CA

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