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Johnny Le

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Brea, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-04-28
CA RA APPROVED 2025-01-15
  • TX RA
    APPROVED_RES
    Since 2026-04-28
  • CA RA
    APPROVED
    Since 2025-01-15

Branch Locations

145 S State College Blvd, Brea, CA 92821 • 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
OrganizationCityStateFromTo
Jpmorgan Chase Bank Brea CA 11/2011 11/2016
J.P. Morgan Securities Llc Brea CA 10/2012 11/2016
Hsbc Bank Usa National Association Garden Grove CA 11/2016 06/2021
Hsbc Securities (Usa) Inc. Garden Grove CA 02/2017 06/2021
Wells Fargo Clearing Services, Llc Placentia CA 07/2021 01/2025
Wells Fargo Bank, Na Placentia CA 07/2021 01/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Brea CA 01/2025 Present
Bank Of America, N.A. Brea CA 02/2025 Present
  • 11/2011 → 11/2016
    Jpmorgan Chase Bank
    Brea, CA
  • 10/2012 → 11/2016
    J.P. Morgan Securities Llc
    Brea, CA
  • 11/2016 → 06/2021
    Hsbc Bank Usa National Association
    Garden Grove, CA
  • 02/2017 → 06/2021
    Hsbc Securities (Usa) Inc.
    Garden Grove, CA
  • 07/2021 → 01/2025
    Wells Fargo Clearing Services, Llc
    Placentia, CA
  • 07/2021 → 01/2025
    Wells Fargo Bank, Na
    Placentia, CA
  • 01/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Brea, CA
  • 02/2025 → Present
    Bank Of America, N.A.
    Brea, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-01
S63 Uniform Securities Agent State Law Examination 2012-08-28
  • S66 Uniform Combined State Law Examination
    2021-11-01
  • S63 Uniform Securities Agent State Law Examination
    2012-08-28

View on SEC IAPD

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