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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ngocha? Claim Your ProfileNgocha Nguyen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in BELLEVUE, WA. Ngocha Nguyen has over 10 years of experience in the financial services industry. Ngocha Nguyen has a Series 66, Series 7, and SIE license. Ngocha Nguyen is registered to provide investment advice in 38 states and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Texas and Washington. Ngocha Nguyen has previously worked with Wells Fargo Advisors, LLC, Morgan Stanley, and TD Ameritrade. Ngocha Nguyen specializes in providing financial advice to corporations, high-net-worth individuals, individuals, charitable organizations, and pension and profit-sharing plans. Ngocha Nguyen has a vast experience in a wide range of asset classes including stocks, bonds, mutual funds, and exchange-traded funds. Ngocha Nguyen is committed to providing personalized financial advice and helping clients achieve their financial goals.
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
WA
09/06/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
05/21/2021 - 08/18/2022
MORGAN STANLEY (Kirkland WA)
WA
05/23/2016 - 05/03/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
FL
11/21/2013 - 05/13/2016
WELLS FARGO ADVISORS, LLC (TAMPA FL)
WA
09/11/2012 - 10/18/2013
TD AMERITRADE, INC. (BELLEVUE WA)
BOTH
Issued 3/9/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/10/2012
Series 7 - General Securities 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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