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Kim Ngan Ha Pang

Charles Schwab & Co., Inc.

Pasadena, CA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-01-09
  • CA RA
    APPROVED
    Since 2023-01-09

Branch Locations

251 S. Lake Ave. Suite 150, Pasadena, CA 91101 • 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 Brea CA 03/2017 10/2021
Liem Do And Associates Aplc Westminster CA 11/2016 03/2017
Pacific Investment Management Company Llc Newport Beach CA 11/2021 12/2022
Pimco Investments Llc Newport Beach CA 11/2021 12/2022
Charles Schwab & Co., Inc. Pasadena CA 12/2022 Present
Charles Schwab Bank, Ssb Pasadena CA 12/2022 Present
  • 03/2017 → 10/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Brea, CA
  • 11/2016 → 03/2017
    Liem Do And Associates Aplc
    Westminster, CA
  • 11/2021 → 12/2022
    Pacific Investment Management Company Llc
    Newport Beach, CA
  • 11/2021 → 12/2022
    Pimco Investments Llc
    Newport Beach, CA
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Pasadena, CA
  • 12/2022 → Present
    Charles Schwab Bank, Ssb
    Pasadena, CA
Previous Registrations
Other Businesses

1) Jeffrey Pang, Kim Nguyen | Investment Related:No|Real Estate (Non-Agent/Broker)|Owner|1/1/2022|Less than 20|0|Property owner, rental income

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-25
  • S66 Uniform Combined State Law Examination
    2019-02-25
Other Names
  • Ngan K Nguyen
  • Kim Ngan Ha Nguyen
  • Ngan Kim Ha Nguyen
  • Kim Nguyen
  • Kim N Nguyen
  • Kim Ngan Nguyen
  • Kim Pang

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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