Christopher Anh-tu Nguyen
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.Oct 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 2024 to now
- Ca Dept of Social Services In-home Supportive Services ProgramJul 2023 to now
- Lyft IncJul 2023 to Jan 2024
- UberJul 2023 to Jan 2024
- Wells Fargo Bank, NAApr 2023 to Sep 2024
- Wells Fargo Clearing Services, LLCApr 2023 to Sep 2024
- Metro Pointe Premier Realty, Inc.Nov 2018 to Apr 2023
- Keller Williams RealtyDec 2017 to Nov 2018
- Omnia Real Estate ServicesJul 2017 to Apr 2022
- Fullerton CollegeJan 2017 to Dec 2018
- California State University, FullertonAug 2014 to Aug 2021
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2024
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
- 7728010
- Firm CRD
- 7691