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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

ANH PHUONG TRAN

Advisor at LPL FINANCIAL LLC

IRVINE, CA

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Search this name across graphsid dfx:ria:86f92984-c3b2-18d6-317e-e5730735b99d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 29, 2007
First registration: Feb 2, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5198283

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 1, 2016	n/a	yes	IRVINE, CA	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 17, 2016	no	ORANGE, CA\|Costa Mesa, CA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jun 22, 2010	Jul 2, 2012	no	IRVINE, CA\|COSTA MESA, CA	Previous registration
GOLDMAN SACHS WEALTH SERVICES, L.P.	Bd affiliated wealth	Feb 2, 2007	Jun 21, 2010	no	IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST ALLIED ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Nov 17, 2016	Nov 1, 2016	-16	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
GOLDMAN SACHS WEALTH SERVICES, L.P.	FIRST ALLIED SECURITIES, INC.	Jun 21, 2010	Jun 22, 2010	1	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 1, 2016 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 17, 2016factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jun 22, 2010 to Jul 2, 2012factForm ADV
→ GOLDMAN SACHS WEALTH SERVICES, L.P.Registered adviserregistration: previous registration
Feb 2, 2007 to Jun 21, 2010factForm ADV

Dated events

No dated event names this entity yet.