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James Hien Nguyen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden Grove, 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 2025-11-04
CA RA APPROVED 2025-10-08
  • TX RA
    APPROVED
    Since 2025-11-04
  • CA RA
    APPROVED
    Since 2025-10-08

Branch Locations

13242 Harbor Blvd, Garden Grove, CA 92843 • 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 Newport Beach CA 07/2025 Present
Bank Of America Garden Grove CA 03/2019 06/2025
Unemployed Garden Grove CA 07/2018 02/2019
Donga Bank Ho Chi Minh City 01/2015 06/2018
Bank Of America, N.A. Newport Beach CA 09/2025 Present
  • 07/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newport Beach, CA
  • 03/2019 → 06/2025
    Bank Of America
    Garden Grove, CA
  • 07/2018 → 02/2019
    Unemployed
    Garden Grove, CA
  • 01/2015 → 06/2018
    Donga Bank
    Ho Chi Minh City
  • 09/2025 → Present
    Bank Of America, N.A.
    Newport Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-08
  • S66 Uniform Combined State Law Examination
    2025-10-08
Other Names
  • Khanh Hien Nguyen

View on SEC IAPD

Other Firms

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J.P. MORGAN SECURITIES LLC
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EAGLE STRATEGIES LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
WILSON FINANCIAL ADVISORS, LLC
FIRST COMMAND ADVISORY SERVICES
OSAIC INSTITUTIONS, INC.

Other Investors

NANCY NIENTZU WOO
EDWARD ARCILLA
Cuong Le
CRISTIAN SANTANA
Jay Vy Nguyen
JOE THANH NGUYEN
MICHAEL MOISES
LARRY DALE PEREGRINE

Other Offices

LPL FINANCIAL LLC · GARDEN GROVE, CA
J.P. MORGAN SECURITIES LLC · GARDEN GROVE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Garden Grove, CA
EAGLE STRATEGIES LLC · GARDEN GROVE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Garden Grove, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ANAHEIM, CA
WILSON FINANCIAL ADVISORS, LLC · GARDEN GROVE, CA
FIRST COMMAND ADVISORY SERVICES · Garden Grove, CA

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