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Hong Phuc Duong

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 2026-04-01
CA RA APPROVED 2026-03-30
  • TX RA
    APPROVED
    Since 2026-04-01
  • CA RA
    APPROVED
    Since 2026-03-30

Branch Locations

2650 Berryessa Rd, San Jose, CA 95132 • 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
J.P Morgan Securities Llc Sunnyvale CA 12/2015 03/2018
Citigroup Global Markets Inc Sunnyvale CA 03/2018 04/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 10/2025 Present
Guaranteed Rate Affinity Campbell CA 04/2021 06/2022
U.S.BAnk Los Gatos CA 06/2022 10/2025
Bank Of America, N.A. San Jose CA 02/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-03-30
S66 Uniform Combined State Law Examination 2025-12-26
S63 Uniform Securities Agent State Law Examination 2014-03-28
  • S65 Uniform Investment Adviser Law Examination
    2026-03-30
  • S66 Uniform Combined State Law Examination
    2025-12-26
  • S63 Uniform Securities Agent State Law Examination
    2014-03-28
Other Names
  • Vy Duong
  • Hong Phuc Duong
  • Phuc H Duong
  • Hong Duong

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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