John Mai Nguyen

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 10/2019
  Jpmorgan Securities Llc
  Long Beach, CA
• 10/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA

Previous Registrations

• 2016-04-18 → 2019-10-16
  J.P. Morgan Securities Llc
  Long Beach, CA
  Irvine, CA
  Torrance, CA
  Torrance, CA
  Torrance, CA
  Redondo Beach, CA
  Torrance, CA
  Torrance, CA
  Torrance, CA
  Rancho Palos Verdes, CA
  Rancho Palos Verdes, CA
  Torrance, CA
  Torrance, CA
  Rolling Hills Estates, CA
  Rolling Hills, CA
  Redondo Beach, CA
  Manhattan Beach, CA
  Manhattan Beach, CA
  Manhattan Beach, CA
  El Segundo, CA
  Los Angeles, CA
  El Segundo, CA
  Manhattan Beach, CA
  Manhattan Beach, CA
  Hermosa Beach, CA
  Los Angeles, CA
  El Segundo, CA
  El Segundo, CA
  Playa Vista, CA
  Los Angeles, CA
  Culver City, CA
  Culver City, CA
  Los Angeles, CA
  Los Angeles, CA
  Marina Del Rey, CA
  Santa Monica, CA
  Los Angeles, CA
  Los Angeles, CA
  Marina Del Rey, CA
  Los Angeles, CA
  Los Angeles, CA
  Santa Monica, CA
  Los Angeles, CA
  Los Angeles, CA
  Pacific Palisades, CA
  Los Angeles, CA
  Los Angeles, CA
  Santa Monica, CA
  Los Angeles, CA
  Santa Monica, CA
  Los Angeles, CA
  Venice, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  Santa Monica,, CA
  Santa Monica, CA
  Los Angeles, CA
  Santa Monica, CA
  Culver City, CA
  Culver City, CA
  Culver City, CA
  Gardena, CA
  Carson, CA
  Long Beach, CA
  Long Beach, CA
  Harbor City, CA
  Carson, CA
  Wilmington, CA
  Wilmington, CA
  Long Beach, CA
  Long Beach, CA
  Long Beach, CA
  San Pedro, CA
  San Pedro, CA
  San Pedro, CA
  Rancho Palos Verdes, CA
• 2010-08-16 → 2016-04-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Torrance, CA
  Los Angeles, CA
  Torrance, CA
  Redondo Beach, CA
  Redondo Beach, CA
  Fountain Valley, CA
  Newport Beach, CA
  Newport Beach, CA
• 2009-08-24 → 2010-06-28
  Wells Fargo Investments, Llc
  Tustin, CA

Exams

• S66 Uniform Combined State Law Examination
  2009-08-22