Van Tran has over 8 years of experience in investment banking and lending. He currently works as a Central Client Relationship Supervision Principal at Merrill Lynch Wealth Management where he provides supervision of new accounts. Prior to this, he held roles as a VP Premier Relationship Advisor at HSBC Securities and as an Assistant Vice President, Financial Solutions Advisor at Merrill Edge and Bank of America. He has a Bachelor's degree in Business Administration with a focus on Finance from the University of Florida.

1. v t r a n 5 4 8 6 @ g m a i l . c o m ▪ ( 9 0 4 ) - 5 0 2 - 7 3 6 9
VAN B. TRAN
Core Competencies
 Eight years of experience in investment, banking, and lending products
 Proven ability to effectively handle multi-task levels of management responsibility with minimal direction from superiors while
supervising personnel, providing team leadership, motivators, and development
 Demonstrates accuracy and thoroughness in all areas of responsibility to ensure business is conducted within guidelines set by the
Firm and industry regulations
 Capable of effectively operating in a team oriented and highly collaborative environment
Professional Experience
Central Client Relationship Supervision Principal
Merrill Lynch Wealth Management, Jacksonville, FL ▪ July, 2014- Present
 Provide supervision of new account applications and ancillary documentation for the New England Market
 Perform regulatory mandated supervision of new accounts submitted by Advisory Financial Advisors.
 Work closely with field management and FAs by establishing and maintaining positive working relationships to ensure
business is conducted within guidelines set by the Firm and industry regulations
 Demonstrate sound and consistent supervisory judgment based on thorough and systematic review of information available
VP Premier Relationship Advisor
HSBC Securities, Fairfax, VA ▪ July, 2013- July, 2014
● Managed assigned Premier Wealth client's full relationship, including banking, lending and investment insurance
components, seeking opportunities to attract new clients as well as retain and expand relationships with existing clients
● Maintained HSBC internal control standards, including timely implementation of internal and external audit points together
with any issues raised by external regulators
Assistant Vice President, Financial Solutions Advisor
Merrill Edge, Bank of America Corporation, Washington, DC ▪ May, 2011- July, 2013
● Assessed customer goals by conducting financial opportunity sessions with new or existing banking clients
● Provided end to end comprehensive advice and customized solutions to help customers achieve their financial goals
● Conducted customer reviews which include a review of investment goals and prepare presentations that recommend
products such as stocks, bonds, mutual funds, insurance, annuities and banking solutions
Assistant Vice President, Financial Solutions Advisor
Merrill Edge Advisory Center, Jacksonville, FL ▪ June, 2008- April, 2011
● Reduced client attrition by delivering an exceptional first time experience, worked with clients to evaluate investment,
savings, and liability management strategies, and based on these conversations, implemented appropriate solutions and
deepen client relationship
● Recommended investment products and services that are suitable for prospects and clients based on their objectives,
resources, time horizon, risk profile and preferences
Extracurricular Activities
Vice President September, 2011- September, 2014
National Organization of Vietnamese American Leadership (NOVAL-DC), Washington, DC
● Provided support to the President in marketing campaigns, arranging internal and external meetings
● Recruited 100 vendors for the First Annual Vietnamese Heritage Festival
● Managed the layout and communication to all vendors including negotiating agreement on specifics of the budget

2. Licenses and Skills
Professional Licenses
● FINRA Series 7, Series 66, Series 9, & 10
Skills
● Bilingual: Vietnamese and English
Education
Bachelor of Science in Business Administration, Finance
Minor: Communication Studies
University of Florida, Gainesville FL ▪ May, 2008