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Ivy P Luong

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

CRD 4972952

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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
TX RA APPROVED 2013-06-27
CA RA APPROVED 2013-04-10
  • TX RA
    APPROVED
    Since 2013-06-27
  • CA RA
    APPROVED
    Since 2013-04-10

Branch Locations

560 S Winchester Blvd, San Jose, CA 95128 • 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 San Jose CA 07/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-09
S63 Uniform Securities Agent State Law Examination 2005-09-10
  • S65 Uniform Investment Adviser Law Examination
    2013-04-09
  • S63 Uniform Securities Agent State Law Examination
    2005-09-10
Other Names
  • Ivy Luong Tan
  • Ivy Luong
  • Ivy P Luong
  • Ivy P.M. Luong
  • Ivy Phung My Luong
  • Ivy Phung My Luong
  • Ivy P.M. Luong
  • Ivy Luong Tan
  • Ivy Phung My Luong

View on SEC IAPD

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