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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 2022-09-15
CA RA APPROVED 2022-09-01
  • TX RA
    APPROVED
    Since 2022-09-15
  • CA RA
    APPROVED
    Since 2022-09-01

Branch Locations

921 E Arques Ave, Sunnyvale, CA 94085 • 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 Mountain View CA 01/2021 Present
Wyndham Garden Hotel San Jose CA 09/2019 03/2021
Lnp Machining San Jose CA 02/2016 05/2019
Ngoc Nguyen Md San Jose CA 06/2016 12/2016
San Jose State University San Jose CA 08/2016 08/2019
Hachi Ju Hachi Saratoga CA 09/2016 11/2016
San Jose State University San Jose CA 08/2017 08/2019
Bank Of America, N.A. Mountain View CA 07/2022 Present
  • 01/2021 → Present
    Mountain View, CA
  • 09/2019 → 03/2021
    Wyndham Garden Hotel
    San Jose, CA
  • 02/2016 → 05/2019
    Lnp Machining
    San Jose, CA
  • 06/2016 → 12/2016
    Ngoc Nguyen Md
    San Jose, CA
  • 08/2016 → 08/2019
    San Jose State University
    San Jose, CA
  • 09/2016 → 11/2016
    Hachi Ju Hachi
    Saratoga, CA
  • 08/2017 → 08/2019
    San Jose State University
    San Jose, CA
  • 07/2022 → Present
    Bank Of America, N.A.
    Mountain View, CA
Other Businesses

I*1218271 For profit or not for profit: Entity For Profit Name of outside business organization: An Nguyen space rent Investment related: N Address of business: Ripon, California, 95366 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 8/15/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I'm the owner of the house. Renter shared room in the house and renter pay for rent, utilities and deposit I*1560285 For profit or not for profit: Entity Governmental Name of outside business organization: IHSS Investment related: N Address of business: Milpitas, California, 95035, United States Nature of business: ["Hospital or Healthcare System"] Position, title, association: ["Employee"], Start date of relationship: 11/15/2024 Number of hours devoted: 60 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Help parents on daily activity like cooking, clean up and doctor visit

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-24
  • S66 Uniform Combined State Law Examination
    2022-08-24

View on SEC IAPD

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