Khuong Tran

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-01-08
CA	RA	APPROVED	2025-12-01

Branch Locations

14476 Big Basin Way, Saratoga, CA 95070 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
J.P. Morgan Securities Llc	Milpitas	CA	04/2023	09/2025
Jpmorgan Chase Bank, N.A.	Milpitas	CA	04/2023	09/2025
Hong Leong Bank Vietnam	Hochiminh		08/2019	05/2022
United Overseas Bank Vietnam (Uob Vietnam)	Hochiminh		11/2017	08/2019
Standard Chartered Bank Vietnam	Hochiminh		05/2015	11/2016
Unemployed	Hochiminh		12/2016	10/2017
Unemployed	San Jose	CA	06/2022	03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Jose	CA	09/2025	Present
Bank Of America, N.A.	San Jose	CA	11/2025	Present

04/2023 → 09/2025

J.P. Morgan Securities Llc

Milpitas, CA
04/2023 → 09/2025

Jpmorgan Chase Bank, N.A.

Milpitas, CA
08/2019 → 05/2022

Hong Leong Bank Vietnam

Hochiminh
11/2017 → 08/2019

United Overseas Bank Vietnam (Uob Vietnam)

Hochiminh
05/2015 → 11/2016

Standard Chartered Bank Vietnam

Hochiminh
12/2016 → 10/2017

Unemployed

Hochiminh
06/2022 → 03/2023

Unemployed

San Jose, CA
09/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA
11/2025 → Present

Bank Of America, N.A.

San Jose, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-12-01
S63	Uniform Securities Agent State Law Examination	2023-08-08

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