Steven Truong

CRD 4128692 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Minh-Sang Truong; Minh-Sang (Stephane) Truong; Minh-Sang (Steven) Truong

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 87Series 86Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 26
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Dec 12, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Barclays Capital Inc.
BD capacity

Sep 22, 2008 → Apr 27, 2012
Lehman Brothers Inc.
BD capacity

Jul 11, 2007 → Sep 22, 2008
Piper Jaffray & Co.
BD capacity

Nov 9, 2004 → Apr 17, 2007
Louis Capital Markets, LP
BD capacity

May 11, 2004 → Sep 13, 2004
Piper Jaffray & Co.
BD capacity

Jul 11, 2001 → May 18, 2004
Abn Amro Incorporated
BD capacity

Apr 30, 2001 → Jun 13, 2001
Ing Barings LLC
BD capacity

Jun 13, 2000 → Apr 30, 2001

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4128692 ↗ FINRA BrokerCheck record for CRD 4128692 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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