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Registered advisor
G•• T•••
Feed of 09/14/2026
Also filed as Gom C Tran
At current firm
11 y
since Feb 5, 2015
In the industry
19 y
since Oct 9, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 5, 2015 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 12, 2013 to Jan 5, 2015 · New York, Ny
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Aug 22, 2013 · New York, Ny
- L•• F•••••••• L•• BD affiliatedMay 25, 2012 to Sep 19, 2012 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 8, 2007 to May 11, 2012 · New York, Ny
- E•••••••• A•••••••• L•• national BDJan 19, 2007 to Feb 26, 2007 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Jan 5, 2015, registered Feb 5, 2015 (31 days) · Other
- S•••••••• S••••••••• to H••• S••••••••• •••• I•••left Aug 22, 2013, registered Dec 12, 2013 (112 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left May 11, 2012, registered May 25, 2012 (14 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Feb 26, 2007, registered Jun 8, 2007 (102 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address