Thanh Tran

CRD 6065409 · J.P. Morgan Securities LLC · New Haven, CT

IA RegisteredBroker

Also appears in the source record as: Thanh Tan Tran; Thanh Tran Tran; Thanh Tran

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (3): Connecticut · New Jersey · New York
Years in the industry (source record): 12
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (10)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New Haven, CT · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New Haven, CT · BC capacity

start not retrieved → present
Park Avenue Securities LLC
New Haven, CT · IA capacity

Mar 7, 2024 → Feb 6, 2026
Park Avenue Securities LLC
New Haven, CT · BC capacity

Mar 7, 2024 → Feb 6, 2026
Northwestern Mutual Investment Services,llc
West Hartford, CT · IA capacity

May 11, 2022 → Feb 27, 2024
Northwestern Mutual Investment Services, LLC
West Hartford, CT · BC capacity

May 10, 2022 → Feb 27, 2024
Ast Investment Services, Inc.
Shelton, CT · IA capacity

Jun 18, 2015 → Jan 24, 2019
Prudential Annuities Distributors, Inc
Shelton, CT · BC capacity

Jun 24, 2015 → Jan 23, 2019
Andrew Garrett, Inc.
New York, NY · IA capacity

Jul 9, 2012 → Jan 15, 2014
Andrew Garrett Inc.
New York, NY · BC capacity

Jun 8, 2012 → Jan 15, 2014

Source & corrections

Where this page comes from

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