Bao Quoc 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.May 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2026 to now
- Kestra Financial Services, LLCJun 2025 to Apr 2026
- Kestra Private Wealth Services, LLCJun 2025 to Apr 2026
- New York LifeMar 2025 to May 2025
- LPL Financial LLCSep 2023 to Feb 2025
- Autonation Acura Stevens CreekNov 2022 to Jun 2024
- UnemploymentMay 2022 to Nov 2022
- Yard House Santana RowJul 2021 to May 2022
- UnemploymentApr 2021 to Jul 2021
- Puesto Santa ClaraMay 2018 to Apr 2021
- Maggiano's Little ItalyOct 2016 to Dec 2017
- Ks Pearl Tea IncSep 2014 to Apr 2020
Exams passed
- 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
- 7803899
- Firm CRD
- 7691