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Gia Luu Phan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fremont, 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 2025-02-04
CA RA APPROVED 2025-01-14
  • TX RA
    APPROVED
    Since 2025-02-04
  • CA RA
    APPROVED
    Since 2025-01-14

Branch Locations

39300 Fremont Blvd, Fremont, CA 94538 • 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
Jpmorgan Chase Bank, N.A. San Jose CA 06/2021 06/2024
J.P. Morgan Securities Llc San Jose CA 10/2022 06/2024
Eva Air Corporation Taipei 12/2015 12/2018
Unemployed San Jose CA 01/2019 05/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fremont CA 08/2024 Present
Mission College Santa Clara CA 12/2021 Present
Bank Of America, N.A. Fremont CA 12/2024 Present
  • 06/2021 → 06/2024
    Jpmorgan Chase Bank, N.A.
    San Jose, CA
  • 10/2022 → 06/2024
    J.P. Morgan Securities Llc
    San Jose, CA
  • 12/2015 → 12/2018
    Eva Air Corporation
    Taipei
  • 01/2019 → 05/2021
    Unemployed
    San Jose, CA
  • 08/2024 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Fremont, CA
  • 12/2021 → Present
    Mission College
    Santa Clara, CA
  • 12/2024 → Present
    Bank Of America, N.A.
    Fremont, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-11
S63 Uniform Securities Agent State Law Examination 2023-02-24
  • S66 Uniform Combined State Law Examination
    2025-01-11
  • S63 Uniform Securities Agent State Law Examination
    2023-02-24
Other Names
  • Gialuu Phan
  • Sally Phan

View on SEC IAPD

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Other Offices

AJAY AGRAWAL · FREMONT, CA
PARAH CAPITAL MANAGEMENT, LLC · FREMONT, CA
WELLS FARGO CLEARING SERVICES, LLC · FREMONT, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FREMONT, CA
J.P. MORGAN SECURITIES LLC · Fremont, CA
CETERA INVESTMENT ADVISERS LLC · FREMONT, CA
WELLS FARGO CLEARING SERVICES, LLC · FREMONT, CA
CITIGROUP GLOBAL MARKETS INC. · FREMONT, CA

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