Tran Nguyen tran
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 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
12 years in the industry.
- Bank of America, N.A.Aug 2022 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2022 to now
- Equitable Advisors LLC.Apr 2021 to Apr 2021
- Pruco Securities LLCJun 2020 to Jun 2022
- The Prudential Insurance Company of AmericaJun 2020 to Jun 2022
- C.h.robinsonMar 2019 to Jul 2020
- Massachusetts National GuardApr 2018 to Dec 2018
- Cosmetic Dermatology and Aesthetic Laser CenterOct 2016 to Jun 2018
- Kay JewelersApr 2016 to Feb 2024
- Salem State UniversitySep 2014 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2020
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (CT, 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
- 7257667
- Firm CRD
- 7691