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Quoc Anh Nguyen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

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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 2023-08-30
CA RA APPROVED 2023-06-05
  • TX RA
    APPROVED
    Since 2023-08-30
  • CA RA
    APPROVED
    Since 2023-06-05

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • 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
Jp Morgan Chase Bank, N.A. Garden Grove CA 07/2018 09/2022
Vivint Westminster CA 09/2017 06/2018
20/20 Companies Huntington Beach CA 10/2014 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Huntington Beach CA 09/2022 Present
Bank Of America N.A. Huntington Beach CA 01/2023 Present
  • 07/2018 → 09/2022
    Jp Morgan Chase Bank, N.A.
    Garden Grove, CA
  • 09/2017 → 06/2018
    Vivint
    Westminster, CA
  • 10/2014 → 10/2017
    20/20 Companies
    Huntington Beach, CA
  • 09/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Huntington Beach, CA
  • 01/2023 → Present
    Bank Of America N.A.
    Huntington Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-01
S63 Uniform Securities Agent State Law Examination 2018-12-05
  • S66 Uniform Combined State Law Examination
    2023-06-01
  • S63 Uniform Securities Agent State Law Examination
    2018-12-05
Other Names
  • Quoc A Nguyen
  • Quoc Nguyen
  • Quoc Anh Nguyen

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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