Steve 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

• 09/2007 → 12/2016
  University Of Massachusetts Amherst
  Amherst, MA
• 10/2015 → 03/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Somerville, MA
• 10/2015 → 03/2019
  Bank Of America, N.A.
  Somerville, MA
• 04/2019 → 11/2019
  Santander Securities, Llc
  Dorchester, MA
• 04/2019 → 11/2019
  Santander Bank, Na
  Boston, MA
• 07/2017 → 04/2020
  Sl Group, Llc
  Medford, MA
• 04/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA
• 09/2019 → 03/2020
  Berkshire Bank
  Medford, MA

Previous Registrations

• 2019-04-29 → 2019-12-04
  Santander Securities Llc
  Abington, MA
  Boston, MA
  Boston, MA
• 2018-09-10 → 2019-03-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Somerville, MA
  Boston, MA

Other Businesses

I*131348For profit or not for profit: For-Profit OrganizationName of outside business organization: NGN PARTNERS LLCInvestment related: NAddress of business:BRAINTREE, Massachusetts 02184Nature of business: LLC,Position, title, association: , Start date of relationship: 4/8/2019Number of hours devoted: 4 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Family investment vehicle for real estate and other ventures ie, restaurant etc.

Exams

• S66 Uniform Combined State Law Examination
  2018-09-06

Other Names

• Steve Nguyen
• Steve H Nguyen