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Brad Truong Chi

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, 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 2019-12-17
CA RA APPROVED 2019-09-24
  • TX RA
    APPROVED
    Since 2019-12-17
  • CA RA
    APPROVED
    Since 2019-09-24

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena CA 06/2019 Present
Bank Of America, N.A. Pasadena CA 06/2019 Present
Bank Of America South Pasadena CA 06/2018 08/2018
Greenspire Santa Monica CA 05/2017 07/2017
Thong, Yu, Wong & Lee Llp Rosemead CA 06/2017 08/2017
University Of Arizona Tucson AZ 08/2015 05/2019
  • 06/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Pasadena, CA
  • 06/2019 → Present
    Bank Of America, N.A.
    Pasadena, CA
  • 06/2018 → 08/2018
    Bank Of America
    South Pasadena, CA
  • 05/2017 → 07/2017
    Greenspire
    Santa Monica, CA
  • 06/2017 → 08/2017
    Thong, Yu, Wong & Lee Llp
    Rosemead, CA
  • 08/2015 → 05/2019
    University Of Arizona
    Tucson, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-23
  • S66 Uniform Combined State Law Examination
    2019-09-23
Other Names
  • Brad Chi

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA
J.P. MORGAN SECURITIES LLC · PASADENA, CA

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