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Detailed Report
HAN NGOC MAO
HAN MAO, HAN TRAN
CRD#: 4756498
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 SPECTRUM CENTER DR
IRVINE, CA 92618
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2016 - 2021 (4 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2014 (7 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2019 - 2021 (1 year)
License(s)

State Registrations

B
California 5/14/2021
B
Nevada 6/9/2023
IA
California 5/17/2021
B
Oregon 11/27/2023
B
Colorado 9/27/2023
B
Texas 5/27/2021
B
Georgia 12/5/2023
IA
Texas 5/27/2021
B
Idaho 6/12/2024

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

View Exams Passed by the individual in the detailed report

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)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Registered with this firm since 5/17/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Registered with this firm since 5/14/2021
Previous Registration(s)
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IA
 12/19/2019 - 05/13/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FOUNTAIN VALLEY, CA
B
 09/24/2016 - 05/13/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FOUNTAIN VALLEY, CA
B
 05/29/2007 - 12/31/2014 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GARDEN GROVE, CA
B
 07/15/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) WESTMINISTER, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.