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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 2022-10-13
CT RA APPROVED 2022-10-05
  • TX RA
    APPROVED
    Since 2022-10-13
  • CT RA
    APPROVED
    Since 2022-10-05

Branch Locations

734 Bliss Rd, Longmeadow, MA 01106 • 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
Pruco Securities Llc Flushing NY 06/2020 06/2022
C.H.RObinson Woburn MA 03/2019 07/2020
Kay Jewelers Nashua NH 04/2016 02/2024
Salem State University Salem MA 09/2014 05/2018
Massachusetts National Guard Reading MA 04/2018 12/2018
The Prudential Insurance Company Of America Flushing NY 06/2020 06/2022
Equitable Advisors Llc. New York NY 04/2021 04/2021
Cosmetic Dermatology And Aesthetic Laser Center Swampscott MA 10/2016 06/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Amherst MA 06/2022 Present
Bank Of America, N.A. Amherst MA 08/2022 Present
  • 06/2020 → 06/2022
    Pruco Securities Llc
    Flushing, NY
  • 03/2019 → 07/2020
    C.H.RObinson
    Woburn, MA
  • 04/2016 → 02/2024
    Kay Jewelers
    Nashua, NH
  • 09/2014 → 05/2018
    Salem State University
    Salem, MA
  • 04/2018 → 12/2018
    Massachusetts National Guard
    Reading, MA
  • 06/2020 → 06/2022
    The Prudential Insurance Company Of America
    Flushing, NY
  • 04/2021 → 04/2021
    Equitable Advisors Llc.
    New York, NY
  • 10/2016 → 06/2018
    Cosmetic Dermatology And Aesthetic Laser Center
    Swampscott, MA
  • 06/2022 → Present
    Amherst, MA
  • 08/2022 → Present
    Bank Of America, N.A.
    Amherst, MA
Other Businesses

I*1532262 For profit or not for profit: Entity For Profit Name of outside business organization: Trizzy Tran LLC Investment related: N Address of business: Fayetteville, North Carolina, 28314, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 11/1/2023 Number of hours devoted: 10 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , I create fashion and makeup marketing materials for brands.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-19
S63 Uniform Securities Agent State Law Examination 2020-09-28
  • S66 Uniform Combined State Law Examination
    2022-09-19
  • S63 Uniform Securities Agent State Law Examination
    2020-09-28
Other Names
  • Tran H Nguyen-Tran
  • Tran Nguyen
  • Tran H Nguyen Tran

View on SEC IAPD

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