Best Investors Account Sign in

Loc Ngo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Livermore, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-02-12
CA RA APPROVED 2020-12-03
  • TX RA
    APPROVED
    Since 2021-02-12
  • CA RA
    APPROVED
    Since 2020-12-03

Branch Locations

1748 Railroad Ave, Livermore, CA 94550 • 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
Bank Of America, N.A Dublin CA 03/2016 06/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Walnut Creek CA 06/2020 Present
Bank Of America, N.A. Walnut Creek CA 08/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-02
  • S66 Uniform Combined State Law Examination
    2020-12-02
Other Names
  • Loc Ngo Ta

View on SEC IAPD

Other Firms

THE AMERIFLEX GROUP
STATE FARM INVESTMENT MANAGEMENT CORP.
THE WEALTH CONSERVATORY
CETERA INVESTMENT ADVISERS LLC
B. RILEY WEALTH ADVISORS, INC.
LPL FINANCIAL LLC
COMMONWEALTH FINANCIAL NETWORK
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

JACOB J REID
STEPHEN D CHIPMAN
BETTY TAYLOR SIMONE
MARCELLA A GUTIERREZ
STEVEN ANDREW SANCHEZ
Andrew Yadegar
GURMEET GULATI
Haiwen Ye

Other Offices

THE AMERIFLEX GROUP · Livermore, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Livermore, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Livermore, CA
THE WEALTH CONSERVATORY · LIVERMORE, CA
CETERA INVESTMENT ADVISERS LLC · Livermore, CA
CETERA INVESTMENT ADVISERS LLC · LIVERMORE, CA
B. RILEY WEALTH ADVISORS, INC. · LIVERMORE, CA
LPL FINANCIAL LLC · LIVERMORE, CA

More in Livermore, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor