Steve Nguyen

CRD 6283575 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boston, MA

IA RegisteredBroker

Also appears in the source record as: Steve H Nguyen; Steve Nguyen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 6Series 66
Registered states (26): California · Colorado · Connecticut · Florida · Georgia · Illinois · Indiana · Iowa · Louisiana · Maine · Maryland · Massachusetts · Michigan · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Wisconsin
Years in the industry (source record): 7
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 6283575 contains one or more disclosure events as of Aug 20, 2026.

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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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boston, MA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boston, MA · BC capacity

start not retrieved → present
Santander Securities
Boston, MA · IA capacity

Apr 29, 2019 → Dec 4, 2019
Santander Securities LLC
Boston, MA · BC capacity

Apr 26, 2019 → Dec 4, 2019
Citizens Securities, Inc.
Quincy, MA · BC capacity

Aug 17, 2015 → Oct 26, 2015

Source & corrections

Where this page comes from

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