Bang K Tran

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-05-12
CA	RA	APPROVED	2011-09-22

TX RA
APPROVED

Since 2016-05-12
CA RA
APPROVED

Since 2011-09-22

Branch Locations

Gilroy, CA • United States

560 S Winchester Blvd, San Jose, CA 95128 • United States

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Cupertino	CA	08/2011	Present
Bank Of America, N.A.	Cupertino	CA	11/2011	Present

08/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cupertino, CA
11/2011 → Present

Bank Of America, N.A.

Cupertino, CA

Previous Registrations

2009-05-21 → 2010-10-06

Chase Investment Services Corp.

Santa Barbara, CA
2008-12-17 → 2009-02-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Barbara, CA

Other Businesses

I*2705300, Entity Type: , Name of OBA: Rental Property 1, Address: san jose, California, 95112, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 04/01/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-11

S66 Uniform Combined State Law Examination

2008-12-11

Other Names

Ben Kim Tran
Ben Tran

View on SEC IAPD