Khanh Thi Phuong 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:

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

Current Employers

Employment History

• 01/2016 → 09/2019
  Jp Morgan Securities Llc
  San Jose, CA
• 01/2016 → 09/2016
  Jp Morgan Chase Bank
  San Jose, CA
• 09/2016 → 09/2019
  Jp Morgan Chase Bank, N.A.
  San Jose, CA
• 09/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA
• 09/2019 → Present
  Bank Of America, N.A.
  San Jose, CA

Other Businesses

I*8948 For profit or not for profit: Name of outside business organization: RENTAL PROPERTY Investment related: Address of business: SANTA CLARA, California 95050 Nature of business: , Position, title, association: , Start date of relationship: 5/1/2008 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2020-02-11
• S63 Uniform Securities Agent State Law Examination
  2016-02-29

Other Names

• Kate Nguyen
• Khanh Nguyen
• Khanh Thi Phuong Nguyen