Joann Kim Ngan Gorbatov

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2017 → 05/2023
  Jpmorgan Chase & Co
  Tempe, AZ
• 12/2022 → Present
  Poplar St Llc
  Long Beach, CA
• 03/2023 → Present
  Tinys Home Solutions Ca Llc
  Long Beach, CA
• 04/2023 → Present
  Hot Rod Mobile Bar Llc
  Long Beach, CA
• 08/2007 → 04/2017
  Bank Of America
  Pasadena, CA
• 12/2023 → 09/2024
  Charles Schwab & Co., Inc.
  Phoenix, AZ
• 09/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Phoenix, AZ
• 07/2024 → Present
  Joann Tran Amazon Merchant Seller
  Tempe, AZ
• 12/2023 → Present
  Joann Tran Lyft Driver
  Tempe, AZ
• 03/2015 → 05/2017
  Bank Of America
  Pasadena, CA
• 11/2024 → Present
  Bank Of America, N.A.
  Phoenix, AZ

Previous Registrations

• 2024-07-24 → 2024-09-04
  Charles Schwab & Co., Inc.
  Phoenix, AZ

Other Businesses

I*: 2033276 Name of the other business: Hot Rod Mobile Bar LLC Whether the business is investment-related: No Address of the other business Tempe, AZ 85282 Nature of the other business: Mobile Beverage Services for small private events such as birthdays, anniversaries, bridal showers, weddings, etc. for 25-150 guests Your position: Managing Member Title, or relationship with the other business: Managing Member Start date of your relationship: 04/18/2023 Approximate number of hours/month you devote to the other business: 12 hrs mthly Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Responsible for marketing, consultation, and event bookings I*: 2033275 Name of the other business: Poplar St LLC Whether the business is investment-related: No Address of the other business Tempe, AZ 85282 Nature of the other business: Rental Property Your position: Managing Member Title, or relationship with the other business: Managing Member Start date of your relationship: 12/07/2022 Approximate number of hours/month you devote to the other business: 8 hrs mthly Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: I manage and maintain the property and tenants. I*: 2033278 Name of the other business: Tinys Home Solutions CA LLC Whether the business is investment-related: No Address of the other business: Long Beach, CA 90801 Nature of the other business: Real Estate Holding Company Title, or relationship with the other business: Managing Member Start date of your relationship: 03/06/2023 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Add or remove assets from company ownership I*: 2034279 Name of the other business: Sole Prop - Lyft Driver Whether the business is investment-related: No Address of the other business Tempe, AZ 85282 Nature of the other business: Ride Share App Your position: Owner Start date of your relationship: 12/11/2023 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Driver for ride share app

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-07-13
• S63 Uniform Securities Agent State Law Examination
  2024-04-10

Other Names

• Joann Kimngan Tran