Joseph Bui

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 07/2017
  Jpmorgan Chase Bank Na
  Los Angeles, CA
• 06/2015 → 07/2017
  J.P. Morgan Securities Llc
  Los Angeles, CA
• 11/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 07/2017 → 11/2018
  Fidelity Charitable
  Los Angeles, CA
• 11/2018 → Present
  Bank Of Ameirca, Na
  Los Angeles, CA

Previous Registrations

• 2015-07-02 → 2017-07-19
  J.P. Morgan Securities Llc
  Los Angeles, CA
• 2008-10-14 → 2015-05-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
  New York, NY
  New York, NY
  Los Angeles, CA
  Newport Beach, CA
  New York, NY
  Newport Beach
  Jacksonville, FL
  Los Angeles, CA
  Los Angeles, CA
  Nashville, TN

Other Businesses

I*119610 For profit or not for profit: Non-Profit Organization Name of outside business organization: McIntyre House Investment related: N Address of business: Los Angeles, California 90004 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 8/1/2015 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: nonprofit board member I*119612 For profit or not for profit: Non-Profit Organization Name of outside business organization: QueensCare Foundation Investment related: N Address of business: los angeles, California 90015 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 7/3/2017 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Board member of nonprofit

Exams

• S66 Uniform Combined State Law Examination
  2008-10-10

Other Names

• Joe Bui
• Joseph H Bui
• Joseph Huy Bui