Peter Hung Nguyen

CRD 2378636 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Vienna, VA

IA RegisteredBroker

Also appears in the source record as: Peter Nguyen; Phi Hung Nguyen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 24SIESeries 7Series 3
Registered states (18): California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Maryland · Missouri · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Tennessee · Texas · Virginia
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Vienna, VA · IA capacity

Apr 16, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Vienna, VA · BC capacity

start not retrieved → present
Sterne, Agee & Leach, Inc.
BD capacity

Aug 12, 2013 → May 5, 2015
Sg Americas Securities, LLC
BD capacity

May 24, 2011 → Jul 10, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 15, 2010 → Oct 12, 2010
Banc Of America Securities LLC
BD capacity

Jun 8, 2004 → Oct 12, 2010
Credit Suisse First Boston LLC
BD capacity

May 30, 2002 → May 26, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 6, 1999 → May 22, 2002

Source & corrections

Where this page comes from

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