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Chau N Morris

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indianapolis, IN

Palm Harbor, FL

CRD 5802529

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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:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2016-05-16
TX RA APPROVED 2014-06-25
MI RA APPROVED 2014-06-10
  • IN RA
    APPROVED
    Since 2016-05-16
  • TX RA
    APPROVED
    Since 2014-06-25
  • MI RA
    APPROVED
    Since 2014-06-10

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • United States

33451 Us Highway 19 N Global Human Resources- The Academy,, Palm Harbor, FL 34684 • 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 Evansville IN 05/2011 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-06-17
S65 Uniform Investment Adviser Law Examination 2014-06-04
  • S63 Uniform Securities Agent State Law Examination
    2014-06-17
  • S65 Uniform Investment Adviser Law Examination
    2014-06-04
Other Names
  • Chau Hong Nguyen
  • Chau Hong Nguyen
  • Chau Nguyen

View on SEC IAPD

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