Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Han? Claim Your ProfileHan Ngoc Mao is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. in Irvine, California. Han has been in the financial services industry since 2004 and has a wide range of experience. Han holds licenses in both California and Texas. Prior to joining Merrill Lynch, Han Ngoc Mao worked at Citigroup Global Markets Inc. in Fountain Valley and Garden Grove. Han specializes in providing financial advice to individuals, businesses, and institutions. Han is committed to providing clients with personalized financial advice and guidance that meets their unique needs.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/27/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (IRVINE CA)
CA
09/24/2016 - 05/13/2021
CITIGROUP GLOBAL MARKETS INC. (FOUNTAIN VALLEY CA)
CA
05/29/2007 - 12/31/2014
CITIGROUP GLOBAL MARKETS INC. (GARDEN GROVE CA)
CA
07/15/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (WESTMINISTER CA)
IA
Issued 12/19/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/2008
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2007
Series 7 - General Securities Representative Examination
BC
Issued 07/14/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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
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