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Lauren Nguyen-Lo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT

Houston, TX

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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 2015-11-27
  • TX RA
    APPROVED
    Since 2015-11-27

Branch Locations

301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • United States

800 Capitol St, Houston, TX 77002 • 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
Bank Of America, N.A. San Antonio TX 11/2008 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 01/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-25
S63 Uniform Securities Agent State Law Examination 2010-11-03
  • S66 Uniform Combined State Law Examination
    2015-11-25
  • S63 Uniform Securities Agent State Law Examination
    2010-11-03
Other Names
  • Lauren Thanh Nguyen
  • Thien-Thanh Ngoc Nguyen
  • Lauren Nguyen Lo
  • Thien-Thanh Ngoc Nguyen
  • Thanh Ngoc Nguyen
  • Lauren Thanh Nguyen
  • Lauren Thanh Nguyen-Lo
  • Lauren Thanh Nguyen Lo
  • Lauren Nguyen

View on SEC IAPD

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