Joseph H Nguyen

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2017-05-16
TX	RA	APPROVED	2013-07-15
RI	RA	APPROVED	2013-07-10

MD RA
APPROVED

Since 2017-05-16
TX RA
APPROVED

Since 2013-07-15
RI RA
APPROVED

Since 2013-07-10

Branch Locations

Essex, MD • United States

194 Wood Ave S Ci Business Controls, Iselin, NJ 08830 • United States

11333 Mccormick Rd Ci Client Management, Hunt Valley, MD 21031 • 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	Lincoln	RI	07/2007	Present

07/2007 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI

Other Businesses

I*4855271 Entity Type: HOA, Co-Op, Freehold Name of OBA: Villa Capri Circle Homeowners Association Address: Essex, Maryland, 21221 Investment Related: No Position, Title, Association: Treasurer Employee Start Date: 07/07/2026 Number of Hours: 4, Monthly Number of Hours during trading: 0 Duties: Serving on the Board of Villa Capri Circle Homeowners Association as a Treasury. This is a volunteer (unpaid role), and was elected by the Board as 7:30PM 7/7/2026 Meeting. My role mainly just making sure utility bills are paid like BGE and water, insurance, and maintenance bills like lawn and annual spring cleaning dumpster. Treasury - My role mainly just making sure utility bills are paid like BGE and water, insurance, and maintenance bills like lawn and annual spring cleaning dumpster; about 4-5 hours monthly outside work hours

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-07-09

S66 Uniform Combined State Law Examination

2013-07-09

Other Names

Hoang Thanh Nguyen
Joseph Hoang Nguyen

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