Hong phuc Duong
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
11 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- Bank of America, N.A.Feb 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2025 to now
- U.s.bankJun 2022 to Oct 2025
- Guaranteed Rate AffinityApr 2021 to Jun 2022
- Citigroup Global Markets IncMar 2018 to Apr 2021
- J.P Morgan Securities LLCDec 2015 to Mar 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 66 · Uniform Combined State Law2025
- Series 65 · Uniform Investment Adviser Law2026
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6240649
- Firm CRD
- 7691