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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

THANH TRAN

Advisor at J.P. MORGAN SECURITIES LLC

NEW HAVEN, CT

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Search this name across graphsid dfx:ria:be2f2e0f-0316-eca1-60af-ca63aba2be0c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jul 9, 2012 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: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 5, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 5, 2012
First registration: Jul 9, 2012
Dual registered: yes, broker-dealer
Other names: THANH TRAN TRAN|THANH TAN TRAN|Thanh Tran|Thanh Tran
IAPD individual key: 6065409

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 9, 2026	n/a	yes	NEW HAVEN, CT	Current employment
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Mar 7, 2024	Feb 6, 2026	no	Stamford, CT\|KING OF PRUSSIA, PA\|NEW HAVEN, CT	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	May 11, 2022	Feb 27, 2024	no	WEST HARTFORD, CT	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Apr 12, 2019	Mar 31, 2022	no	HAMDEN, CT\|NEW HAVEN, CT	Previous registration
AST INVESTMENT SERVICES, INC.	Asset manager	Jun 18, 2015	Jan 24, 2019	no	SHELTON, CT	Previous registration
ANDREW GARRETT, INC.	Independent wealth	Jul 9, 2012	Jan 15, 2014	no	NEW YORK, NY	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
PARK AVENUE SECURITIES LLC	J.P. MORGAN SECURITIES LLC	Feb 6, 2026	Jan 9, 2026	-28	Firm change	Ibd to wirehouse
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	PARK AVENUE SECURITIES LLC	Feb 27, 2024	Mar 7, 2024	9	Firm change	Other
PARK AVENUE SECURITIES LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Mar 31, 2022	May 11, 2022	41	Firm change	Other
AST INVESTMENT SERVICES, INC.	PARK AVENUE SECURITIES LLC	Jan 24, 2019	Apr 12, 2019	78	Firm change	Other
ANDREW GARRETT, INC.	AST INVESTMENT SERVICES, INC.	Jan 15, 2014	Jun 18, 2015	519	Firm change after gap	Other

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Jan 9, 2026 to presentfactForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Mar 7, 2024 to Feb 6, 2026factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
May 11, 2022 to Feb 27, 2024factForm ADV
→ AST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 18, 2015 to Jan 24, 2019factForm ADV
→ ANDREW GARRETT, INC.Registered adviserregistration: previous registration
Jul 9, 2012 to Jan 15, 2014factForm ADV

Dated events

Occurred
Feb 6, 2026
Advisor changed firm
Thanh Tran left Park Avenue Securities Llc for J.P. Morgan Securities Llc (registered 2026-01-09)
Form ADVobserved 5 days ago
Occurred
Feb 27, 2024
Advisor changed firm
Thanh Tran left Northwestern Mutual Investment Services,Llc for Park Avenue Securities Llc (registered 2024-03-07)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Advisor changed firm
Thanh Tran left Park Avenue Securities Llc for Northwestern Mutual Investment Services,Llc (registered 2022-05-11)
Form ADVobserved 5 days ago