Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Khanh? Claim Your ProfileKhanh Thi phuong Nguyen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in San Jose, CA. Khanh has been in the financial services industry since January 3, 2016. Khanh has a broad range of experience, having worked with J.P. MORGAN SECURITIES LLC and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC prior to joining Merrill Lynch. Khanh is registered to provide investment advisory services in California and Texas. Khanh is also licensed to provide securities services in all 50 states and the District of Columbia.
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
04/15/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN JOSE CA)
CA
02/24/2016 - 10/25/2019
J.P. MORGAN SECURITIES LLC (SAN JOSE CA)
CA
11/26/2015 - 01/15/2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN JOSE CA)
BOTH
Issued 02/11/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/29/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2015
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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