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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 2025-11-03
CT RA APPROVED 2025-10-02
  • TX RA
    APPROVED
    Since 2025-11-03
  • CT RA
    APPROVED
    Since 2025-10-02

Branch Locations

100 Federal St, Boston, MA 02110 • United States

One Bryant Park, New York, NY 10036 • 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
Santander Bank, Na Boston MA 09/2015 07/2019
Santander Securities Llc Dorchester MA 06/2017 07/2019
Jpmorgan Chase Bank, N.A. Boston MA 07/2019 10/2021
J.P. Morgan Securities Llc Boston MA 07/2019 10/2021
Malden Young Men'S Christian Association Malden MA 12/2017 02/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2021 Present
  • 09/2015 → 07/2019
    Santander Bank, Na
    Boston, MA
  • 06/2017 → 07/2019
    Santander Securities Llc
    Dorchester, MA
  • 07/2019 → 10/2021
    Jpmorgan Chase Bank, N.A.
    Boston, MA
  • 07/2019 → 10/2021
    J.P. Morgan Securities Llc
    Boston, MA
  • 12/2017 → 02/2020
    Malden Young Men'S Christian Association
    Malden, MA
  • 10/2021 → Present
    Boston, MA
Other Businesses

NAME OF ENTITY: MALDEN YOUNG MEN'S CHRISTIAN ASSOCIATION POSITION: LIFEGUARD START DATE: 12/1/2017 ADDRESS: Malden MA INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 12 HOURS DURING TRADING: 0 DUTIES: LIFEGUARD THE SWIMMING POOL, TEST WATER CHEMICALS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-30
S63 Uniform Securities Agent State Law Examination 2017-09-18
  • S66 Uniform Combined State Law Examination
    2025-01-30
  • S63 Uniform Securities Agent State Law Examination
    2017-09-18
Other Names
  • Hao Luong
  • Hao The Luong

View on SEC IAPD

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