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Henry Tran

Chief Compliance Officer at Baker Street Advisors

No current adviser or broker registrationSEC record checked 18 October 2026

1
Past adviser firms
9
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Henry Tran is Chief Compliance Officer of Baker Street Advisors, LLC, a San Francisco investment adviser managing $20.8B. Henry Tran has past investment-adviser registrations through 1 firm and has passed 9 licensing exams.

Role at Baker Street Advisors

Title on Schedule A
Chief Compliance Officer
Control
Henry Tran is not a control person of Baker Street Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Henry Tran has held the filed role since March 2026.

The firm

Baker Street Advisors, LLC
San Francisco, CA

Form ADV filed 30 July 2026

$20.8B AUM538 clients15 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO, Series 9, Series 14, Series 66, Series 4 and Series 10 · 2024
  2. J.p. Morgan Securities LLC
    – · under a year
    San Francisco, CA · Adviser representative · Firm CRD 79
  3. Passed SIE, Series 7TO and Series 24 · 2023

Registrations and exams

No current adviser or broker registration. Henry Tran has passed 9 qualifying exams.

Examinations

Series 6623 May 2024
Name
Uniform Combined State Law Examination
Series 102 July 2024
Name
General Securities Sales Supervisor - General Module Examination
Series 410 June 2024
Name
Registered Options Principal Examination
Series 1413 May 2024
Name
Compliance Officer Examination
Series 910 May 2024
Name
General Securities Sales Supervisor - Options Module Examination
Series 2425 November 2023
Name
General Securities Principal Examination
Series 99TO17 January 2024
Name
Operations Professional Examination
Series 7TO12 July 2023
Name
General Securities Representative Examination
SIE21 June 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Henry Tran
CRD
4953170
Firm
Baker Street Advisors, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Henry Tran work?

Henry Tran has been Chief Compliance Officer of Baker Street Advisors, LLC since March 2026.

Source: Form ADV, Schedule A, filed 30 July 2026

Does Henry Tran have a current investment-adviser registration?

Henry Tran has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Henry Tran passed?

Henry Tran has passed 9 licensing exams: the SIE, Series 7TO, Series 24, Series 99TO, Series 9, Series 14, Series 66, Series 4 and Series 10. The earliest, the SIE, was passed in June 2023.

Source: IAPD individual record, checked 18 October 2026

Where was Henry Tran previously registered as an investment adviser?

Henry Tran has past investment-adviser registrations through J.p. Morgan Securities LLC, May 2024 to July 2024, across 1 firm.

Source: IAPD individual record, checked 18 October 2026

Leadership at Baker Street Advisors

Sources

  1. IAPD individual record, CRD 4953170. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Baker Street Advisors, LLC, filed 30 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Henry Tran or Baker Street Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.