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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2006-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Houston | TX | 08/2006 | Present |
| Bank Of America, Na | Houston | TX | 09/2009 | Present |
I*87743 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE NGUYEN OASIS LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BELLAIRE, TEXAS 77401 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 10/1/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS OUR FAMILY VACATION HOME.IT WAS SET UP AS AN LLC AND WE WILL USE IT SOMETIMES AND RENT IT OUT SOMETIMES I*97194 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NANCY NGUYEN INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOUSTON, TEXAS 77056 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 8/23/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS CONDO IS FOR RENT AT THIS TIME UNTIL I RETIRE AND I MIGHT LIVE IN IT. I*4169 For profit or not for profit: Name of outside business organization: NANCY NGUYEN Investment related: Address of business: HOUSTON, Texas 77056 Nature of business: , Position, title, association: , Start date of relationship: 8/23/2016 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-20 |
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