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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 2026-04-07
CA RA APPROVED 2026-03-30
  • TX RA
    APPROVED
    Since 2026-04-07
  • CA RA
    APPROVED
    Since 2026-03-30

Branch Locations

1707 E Capitol Expy, San Jose, CA 95121 • 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
New York Life Insurance Company San Jose CA 08/2024 01/2026
Unemployed San Jose CA 06/2024 08/2024
Qxq Fremont CA 05/2023 05/2024
Hcmc University Of Pedagogy Ho Chi Minh 06/2020 03/2023
Tran Phu Highschool Ho Chi Minh 08/2017 06/2020
Nguyen Tri Phuong Middle School Ho Chi Minh 07/2016 08/2017
Nylife Securities Llc San Jose CA 01/2025 01/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 01/2026 Present
Bank Of America, N.A San Jose CA 02/2026 Present
  • 08/2024 → 01/2026
    New York Life Insurance Company
    San Jose, CA
  • 06/2024 → 08/2024
    Unemployed
    San Jose, CA
  • 05/2023 → 05/2024
    Qxq
    Fremont, CA
  • 06/2020 → 03/2023
    Hcmc University Of Pedagogy
    Ho Chi Minh
  • 08/2017 → 06/2020
    Tran Phu Highschool
    Ho Chi Minh
  • 07/2016 → 08/2017
    Nguyen Tri Phuong Middle School
    Ho Chi Minh
  • 01/2025 → 01/2026
    Nylife Securities Llc
    San Jose, CA
  • 01/2026 → Present
    San Jose, CA
  • 02/2026 → Present
    Bank Of America, N.A
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-30
S63 Uniform Securities Agent State Law Examination 2025-07-11
  • S66 Uniform Combined State Law Examination
    2026-03-30
  • S63 Uniform Securities Agent State Law Examination
    2025-07-11
Other Names
  • Bao Lieu
  • Bao Tran Lieu

View on SEC IAPD

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