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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 2020-01-28
HI RA APPROVED 2020-01-23
  • TX RA
    APPROVED
    Since 2020-01-28
  • HI RA
    APPROVED
    Since 2020-01-23

Branch Locations

Honolulu, HI • United States

1003 Bishop St, Honolulu, HI 96813 • 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
Hawaii Pacific University Honolulu HI 09/2014 12/2017
Unemployed Honolulu HI 01/2018 06/2018
Merrill Lynch, Pierce, Fenner, Smith Inc Honolulu HI 06/2018 09/2018
Raymond James Financial Services, Inc Honolulu HI 09/2018 12/2019
First Hawaiian Bank Honolulu HI 09/2018 12/2019
Raymond James Financial Services Advisors Inc. Honolulu HI 10/2019 12/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Honolulu HI 01/2020 Present
Bank Of America, N.A. Honolulu HI 02/2022 Present
  • 09/2014 → 12/2017
    Hawaii Pacific University
    Honolulu, HI
  • 01/2018 → 06/2018
    Unemployed
    Honolulu, HI
  • 06/2018 → 09/2018
    Merrill Lynch, Pierce, Fenner, Smith Inc
    Honolulu, HI
  • 09/2018 → 12/2019
    Raymond James Financial Services, Inc
    Honolulu, HI
  • 09/2018 → 12/2019
    First Hawaiian Bank
    Honolulu, HI
  • 10/2019 → 12/2019
    Honolulu, HI
  • 01/2020 → Present
    Honolulu, HI
  • 02/2022 → Present
    Bank Of America, N.A.
    Honolulu, HI
Previous Registrations
Other Businesses

I*1738258, Entity Type:Entity For Profit, Name of OBA:LMN Management LLC, Address:Honolulu, HI 96808, Investment Related: Position, Title, Association:Owner Employee Start Date:3/4/2024 No Hours: No Hours during trading: Duties:Rental. Landlord/Owner responsibilities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-30
  • S66 Uniform Combined State Law Examination
    2019-09-30
Other Names
  • Laura Nguyen
  • Laura T Nguyen
  • Laura Tu Nguyen

View on SEC IAPD

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