Khuong Tran
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.Nov 2025 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 2025 to now
- J.P. Morgan Securities LLCApr 2023 to Sep 2025
- JPMorgan Chase Bank, N.A.Apr 2023 to Sep 2025
- UnemployedJun 2022 to Mar 2023
- Hong Leong Bank VietnamAug 2019 to May 2022
- United Overseas Bank Vietnam (uob Vietnam)Nov 2017 to Aug 2019
- UnemployedDec 2016 to Oct 2017
- Standard Chartered Bank VietnamMay 2015 to Nov 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2025
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
- 7729894
- Firm CRD
- 7691