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Dione Luu-Wong

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, 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_RES 2017-09-25
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2017-09-25
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

560 S Winchester Blvd, San Jose, CA 95128 • 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 Fremont CA 10/2009 Present
Bank Of America,N.A. San Jose CA 06/2011 Present
Previous Registrations
  • 1998-05-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Oakland, CA
    Fremont, CA
    Fremont, CA
    San Jose, CA
    Fremont, CA
    Fremont, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-26
S63 Uniform Securities Agent State Law Examination 1991-05-16
  • S65 Uniform Investment Adviser Law Examination
    1997-09-26
  • S63 Uniform Securities Agent State Law Examination
    1991-05-16
Other Names
  • Dione Tuyetbinh Luu
  • Dione Tuyetbinh Luuwong
  • Dione Luu-Wong

View on SEC IAPD

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