Hoai Viet Tran

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

• 12/2013 → 02/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
• 01/2014 → 02/2021
  Bank Of America N.A.
  Pennington, NJ
• 02/2021 → 05/2022
  First Republic Securities Company, Llc
  New York, NY
• 02/2021 → 05/2022
  First Republic Investment Management, Inc
  New York, NY
• 06/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ

Previous Registrations

• 2021-02-20 → 2022-05-18
  J.P. Morgan Private Wealth Advisors Llc
  New York, NY
  Paramus, NJ
• 2013-12-18 → 2021-02-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
  Pennington, NJ
  Pennington, NJ
  Pennington, NJ
• 2013-08-02 → 2013-12-03
  Equitable Advisors, Llc
  Edison, NJ
  Parlin, NJ
  Edison, NJ

Other Businesses

I*: Name of the other business; De Solera Hospitality LLC Investment-related: Non Investment Related Address of the other business; Allentown, PA 18101 Nature of the other business; Restaurant Title, or relationship with the other business: Co-Manager Start date of your relationship: August19th 2022 Number of hours/month you devote to the other business; 1 hr wkly Number of hours you devote to the other business during securities trading hours; 0 Duties relating to the other business: approve for ideas for drinks and menu and guidance. I*: 2190294 Entity Type: For Profit Name of OBA: Simpatico Hospitality Address: Somerville, NJ 08876 Investment Related: No Position, Title, Association: General Partner/Managing Member, Owner Employee Start Date: 04/30/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Part-Owner/Co-Manager. My role for this entity will be assisting with decisions on menu and approvals. There will be no day to day duties except for meetings twice a month at the location on the weekends for new concepts and ideas for the business

Exams

• S66 Uniform Combined State Law Examination
  2013-07-25

Other Names

• Viet Tran
• Viet Tran
• Hoai-Viet Tran
• Hoai Viet Tran
• Hoaiviet Tran