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Ha Phuong Nguyen

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Ha Phuong Nguyen

Ha Phuong Nguyen is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been working in the financial services industry since August 2021. Ha is licensed to sell securities in 37 states and is registered as a broker-dealer in Alaska and Texas. Ha holds the Series 7TO, SIE and Series 66 securities licenses. Ha specializes in working with individuals, corporations, insurance companies, high-net-worth individuals, pension plans, and charitable organizations. Ha is committed to helping clients achieve their financial goals through a variety of investment products and services.

Firm Information

Ha Nguyen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Ha Nguyen’s Registration & Firm History

AK

07/20/2022 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (ANCHORAGE AK)

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Licenses & Designations

BOTH

Issued 06/22/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/24/2021

Series 7TO - General Securities Representative Examination

BC

Issued 11/16/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Ha Phuong Nguyen.
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