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Charles K Truong

Description

Charles Truong a financial professional at Unionbanc Investment Services, LLC, a broker-dealer with 599 registered representatives nationwide. Charles has held an industry securities registration for 12 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Charles K Truong has not answered any questions on Financial Q&A.

Top Guides

Charles K Truong has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Unionbanc Investment Services, LLC 6 years, 7 months Oct 2006 - Present
Wells Fargo Investments, LLC 1 month Sep 2006 - Oct 2006
Unionbanc Investment Services, LLC 1 year, 8 months Jan 2005 - Sep 2006
Citicorp Imvestment Services 3 years Jan 2002 - Jan 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/24/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
04/24/2012
09/14/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 11/17/2004
Uniform Securities Agent State Law Examination Series 63 12/01/2000
General Securities Representative Examination Series 7 07/14/2000

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees