Tu Tran has been Chief Compliance Officer and Managing Member of Crosspoint Financial since March 2017, is a control person of the firm and directly owns 75% or more of it. Tu Tran holds a Bachelor's Degree in Economics from the University of California, Los Angeles.
Crosspoint Financial, LLC is a Tustin, CA firm with $157M under management, 282 clients and 1 adviser in one office, as of its March 2026 filing.
Tu Tran is Founder of Crosspoint Financial. He is a financial industry veteran of nearly two decades and started his career in 1998 as an advisor with Ameriprise Financial.
Tu Tran’s longest registration was 18 years at Ameriprise Financial Services, Inc. (1998–2017). Before joining Crosspoint Financial in 2017, Tu Tran was registered through Ameriprise Financial Services, Inc.
- Crosspoint Financial, LLCCurrent– present · 9 yearsTustin, CA · Adviser representative · Firm CRD 286443
- Ameriprise Financial Services, Inc.– · 18 yearsTustin, CA · Adviser representative · Firm CRD 6363
Professional designations
Listed by Crosspoint Financial
- CFP
- CRPC
Investment adviser representative registrations
Tu Tran is registered as an investment adviser representative in 2 states. The first approvals date from March 2017; the most recent is Texas, in June 2022.
- CaliforniaSince 16 March 2017
- TexasSince 17 June 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 17 November 1998 |
| Series 7 | General Securities Representative Examination | 12 August 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 January 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Tu Anh Tran
- CRD
- 2941092
- Firm
- Crosspoint Financial · CRD 286443
- Role
- Chief Compliance Officer and Managing Member
- Office
- 14471 CHAMBERS ROAD, #208, Tustin, CA 92780
- Registration
- Investment adviser registration
- In the industry since
- August 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- crosspointfp.com
Where does Tu Tran work?
Tu Tran has been Chief Compliance Officer and Managing Member of Crosspoint Financial, LLC since March 2017, and is a control person of the firm.
Is Tu Tran a financial advisor?
Yes. Tu Tran has a current investment-adviser registration in California and Texas, through Crosspoint Financial since March 2017.
How many years of experience does Tu Tran have?
Tu Tran has 28 years in the financial industry, since August 1998, across 2 adviser firms.
What exams has Tu Tran passed?
Tu Tran has passed 3 licensing exams: the Series 63, Series 7 and Series 65. The earliest, the Series 63, was passed in January 1998. FINRA credited Tu Tran with the SIE, which began in October 2018.
Where did Tu Tran work before Crosspoint Financial?
Before Crosspoint Financial, Tu Tran was registered through Ameriprise Financial Services, Inc., December 1998 to March 2017.
Where is Tu Tran based?
Tu Tran’s registered office is in Tustin, CA.
Is Tu Tran registered with FINRA?
No. Tu Tran has no current broker registration.
Is Tu Tran a CFP?
Crosspoint Financial lists Tu Tran with the CFP credential (“CFP”) on its website. CFP Board confirms certification status.
How can I verify Tu Tran’s record?
Search CRD 2941092 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tu Tran’s full registration record.