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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_RES 2018-03-22
CA RA APPROVED 2017-10-23
  • TX RA
    APPROVED_RES
    Since 2018-03-22
  • CA RA
    APPROVED
    Since 2017-10-23

Branch Locations

6791 Westminster Blvd, Westminster, CA 92683 • 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 Garden Grove CA 11/2014 Present
Bank Of America, N.A. Garden Grove CA 11/2014 Present
Other Businesses

I*10448For profit or not for profit: Name of outside business organization: Ivy VanInvestment related: Address of business:Garden Grove, California 92843Nature of business: ,Position, title, association: , Start date of relationship: 2/1/2021Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties:I*1076300For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: BEAUMONT, California, 92223Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/18/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0. I*1844355, Entity Type: Entity For Profit, Name of OBA: GOLDEN LOTUS INVESTMENT PROPERTY 1 LLC, Address: Garden Grove, CA, 92843, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 05/22/2024, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: This is my Rental Property and I'm a Manager of the business and responsible to manage and collect rent every month. I*1844356, Entity Type: Entity For Profit, Name of OBA: GOLDEN LOTUS INVESTMENT PROPERTY 2 LLC, Address: Beaumont, CA, 92223, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 05/22/2024, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: This is my rental property and I'm managing the property and collect rental income every month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-20
  • S66 Uniform Combined State Law Examination
    2017-10-20
Other Names
  • Yen Thi Ngoc Van
  • Ivy Van

View on SEC IAPD

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