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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-08-12
  • CA RA
    APPROVED
    Since 2026-08-12

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

11262 Los Alamitos Blvd, Los Alamitos, CA 90720 • 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
Goldman Sachs & Co. Llc Newport Beach CA 02/2024 04/2025
J.P Morgan Chase Gardena CA 02/2024 02/2024
Wells Fargo N.A Long Beach CA 06/2022 01/2024
Best Buy Westminster CA 04/2021 06/2022
Boba Loca Garden Grove CA 06/2020 11/2020
Garden Grove High School Garden Grove CA 08/2016 06/2020
Usa Daily Live Seafood Long Beach CA 12/2022 03/2023
California State University Long Beach Long Beach CA 11/2020 12/2023
Fidelity Investments Seal Beach CA 05/2025 07/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Alamitos CA 07/2026 Present
Bank Of America, N.A. Los Alamitos CA 08/2026 Present
  • 02/2024 → 04/2025
    Goldman Sachs & Co. Llc
    Newport Beach, CA
  • 02/2024 → 02/2024
    J.P Morgan Chase
    Gardena, CA
  • 06/2022 → 01/2024
    Wells Fargo N.A
    Long Beach, CA
  • 04/2021 → 06/2022
    Best Buy
    Westminster, CA
  • 06/2020 → 11/2020
    Boba Loca
    Garden Grove, CA
  • 08/2016 → 06/2020
    Garden Grove High School
    Garden Grove, CA
  • 12/2022 → 03/2023
    Usa Daily Live Seafood
    Long Beach, CA
  • 11/2020 → 12/2023
    California State University Long Beach
    Long Beach, CA
  • 05/2025 → 07/2026
    Fidelity Investments
    Seal Beach, CA
  • 07/2026 → Present
    Los Alamitos, CA
  • 08/2026 → Present
    Bank Of America, N.A.
    Los Alamitos, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-05
  • S66 Uniform Combined State Law Examination
    2024-04-05
Other Names
  • James Bui
  • James Kiet Bui
  • James K Bui

View on SEC IAPD

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