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ANNIE LOUIE
NGAN T TIEU
CRD#: 2591708
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1007 TARAVAL ST
SAN FRANCISCO, CA 94116
Registration History
19952000200520102015202020252 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - Present (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2015 (17 years)BNYLIFE SECURITIES INC. (CRD# 5167)1995 - 1995 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2014 - 2015 (<1 year)
License(s)

State Registrations

B
Arizona 10/18/2016

B
New Jersey 10/2/2023

B
California 10/18/2016

B
Oregon 10/18/2016

IA
California 10/18/2016

B
Pennsylvania 9/28/2020

B
Florida 10/18/2016

B
Texas 10/18/2016

B
Georgia 8/29/2023

IA
Texas 10/18/2016

B
Massachusetts 10/30/2024

B
Washington 1/3/2020

B
Nevada 10/18/2016

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1007 TARAVAL ST, SAN FRANCISCO, CA 94116
Registered with this firm since 10/18/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1007 TARAVAL ST, SAN FRANCISCO, CA 94116
Registered with this firm since 10/18/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/18/2015 - 04/08/2016 MORGAN STANLEY (CRD#:149777) SANTA ROSA, CA
B
05/18/2015 - 04/08/2016 MORGAN STANLEY (CRD#:149777) SANTA ROSA, CA
IA
12/01/2014 - 03/04/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
B
08/15/1997 - 03/04/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
B
06/09/1995 - 09/14/1995 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.