Quoc Tran has been Chairman and Chief Investment Officer, Managing Partner of Tran Capital Management since January 2007, is a control person of the firm and directly owns under 5% of it.
Tran Capital Management, L.P. is a San Rafael, CA firm with $890M under management, 348 clients and 3 advisers in one office, as of its February 2026 filing.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 27 August 2013 |
| Series 3 | National Commodity Futures Examination | 14 October 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 November 1997 |
| Series 7 | General Securities Representative Examination | 29 September 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Quoc Kinh Tran
- CRD
- 2808598
- Firm
- Tran Capital Management · CRD 107049
- Role
- Chairman and Chief Investment Officer, Managing Partner
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Quoc Tran work?
Quoc Tran has been Chairman and Chief Investment Officer, Managing Partner of Tran Capital Management, L.P. since January 2007, and is a control person of the firm.
Does Quoc Tran have a current investment-adviser registration?
Quoc Tran has no current investment-adviser or broker registration.
What exams has Quoc Tran passed?
Quoc Tran has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 7, was passed in September 1997.
Where was Quoc Tran previously registered as an investment adviser?
Quoc Tran has past investment-adviser registrations through Tran Capital Management, L.P., August 2013 to December 2025, across 1 firm.
Is Quoc Tran registered with FINRA?
No. Quoc Tran has no current broker registration.
How can I verify Quoc Tran’s record?
Search CRD 2808598 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Quoc Tran’s full registration record.