Anh Phuong 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

• 06/2010 → 11/2016
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 09/2016
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2016 → Present
  Lpl Financial, Llc
  Orange, CA

Previous Registrations

• 2012-07-02 → 2016-11-17
  First Allied Advisory Services, Inc.
  Orange, CA
  Costa Mesa, CA
• 2010-06-22 → 2012-07-02
  First Allied Securities, Inc.
  Irvine, CA
  Costa Mesa, CA
• 2007-02-02 → 2010-06-21
  Goldman Sachs Wealth Services, L.P.
  Irvine, CA

Other Businesses

(1) 11/01/2016: Modern Wealth Law, APLC - Legal Services - Investment Related - 3200 Park Center Crive, 260 Costa Mesa 92626 - Start 04/01/2013 - 5 Hr/Mo; 2 Hour(s) During Securities Trading; 3% Time Spent - Attorney (2) 11/01/2016: No Business Name - Real Estate Rental - Investment Related - 8266 Golden Circle, Garden Grove, CA 92844-1085 and 8256 Golden Circle, Garden Grove, CA 92844 - Start 06/15/2008 - 1 Hr/Mo; 0 Hour(s) During Securities Trading; 2% Time Spent - Owner. (3) 12/2/2020 - SageMint Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2020 - 40 Hours Per Month During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2007-01-29

Designations

• Certified Financial Planner