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Annie Duyen-An Ngoc Mai

U.S. Bancorp Advisors, LLC

San Jose, CA

San Jose, CA

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Current Employers
U.S. Bancorp Advisors, Llc

60 Livingston Ave Ep-Mn-N2Wc, Saint Paul, MN 55107 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-13
  • CA RA
    APPROVED
    Since 2026-02-13

Branch Locations

2875 The Villages Pkwy, San Jose, CA 95135 • United States

San Jose, CA • 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
U.S. Bank San Jose CA 03/2013 02/2026
U.S. Bancorp Investments, Inc. San Jose CA 08/2018 02/2026
U.S. Bancorp Advisors, Llc San Jose CA 02/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-22
S63 Uniform Securities Agent State Law Examination 2018-10-25
  • S65 Uniform Investment Adviser Law Examination
    2020-12-22
  • S63 Uniform Securities Agent State Law Examination
    2018-10-25
Other Names
  • Annie Mai

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
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