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Steven Q Tran

Morgan Stanley

Rancho Santa Fe, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-03
CA RA APPROVED 2023-01-12
  • TX RA
    APPROVED
    Since 2023-02-03
  • CA RA
    APPROVED
    Since 2023-01-12

Branch Locations

6037 La Flecha Suite 200, Rancho Santa Fe, CA 92067 • 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
Pacific Advisors San Diego CA 06/2018 11/2018
Ucsd San Diego CA 10/2014 06/2018
Guardian Life Insurance Company San Diego CA 11/2018 07/2022
Park Avenue Securities San Diego CA 03/2022 07/2022
Morgan Stanley Smith Barney Llc Rancho Santa CA 10/2021 Present
  • 06/2018 → 11/2018
    Pacific Advisors
    San Diego, CA
  • 10/2014 → 06/2018
    Ucsd
    San Diego, CA
  • 11/2018 → 07/2022
    Guardian Life Insurance Company
    San Diego, CA
  • 03/2022 → 07/2022
    Park Avenue Securities
    San Diego, CA
  • 10/2021 → Present
    Morgan Stanley Smith Barney Llc
    Rancho Santa, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-12
  • S66 Uniform Combined State Law Examination
    2023-01-12
Other Names
  • Steven Quang Tran

View on SEC IAPD

Other Firms

ESSENTIAL PARTNERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
DARK HORSE ADVISORS LLC
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
U.S. BANCORP ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

JASON SCOTT MUBARAK
NICOLE ROCHELLE CARNER
ANNA MARIE THOMAS
MATTHEW MICHAEL HANSEN
RONALD WILLIAM THOMAS
NIC J TROUNCE
Maxwell Richard Parziale
Brad J Sherman

Other Offices

MORGAN STANLEY · RANCHO SANTE FE, CA
ESSENTIAL PARTNERS LLC · RANCHO SANTA FE,, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Rancho Santa Fe, CA
DARK HORSE ADVISORS LLC · Rancho Santa Fe, CA
LPL FINANCIAL LLC · RANCHO SANTA FE, CA
EAGLE STRATEGIES LLC · Rancho Santa Fe, CA
U.S. BANCORP ADVISORS, LLC · Rancho Santa Fe, CA
WELLS FARGO CLEARING SERVICES, LLC · RANCHO SANTA FE, CA

More in Rancho Santa Fe, CA

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