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BICH VAN THI NGO
BICH VAN T NGO, VAN NGO
CRD#: 5144814
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
HOUSTON, TX 77002
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2009 (<1 year)BGOLDMAN, SACHS & CO. (CRD# 361)2006 - 2008 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Alabama 9/9/2013

B
Nebraska 11/22/2022

B
Alaska 9/9/2013

B
Nevada 1/31/2011

B
Arizona 1/31/2011

B
New Hampshire 5/6/2014

B
Arkansas 9/9/2013

B
New Jersey 5/28/2009

B
California 5/28/2009

B
New Mexico 1/31/2011

B
Colorado 4/28/2010

B
New York 4/28/2010

B
Connecticut 5/28/2009

B
North Carolina 5/29/2009

B
Delaware 9/9/2013

B
North Dakota 11/22/2022

B
District of Columbia 9/9/2013

B
Ohio 9/9/2013

B
Florida 5/28/2009

B
Oklahoma 9/9/2013

B
Georgia 1/31/2011

B
Oregon 9/16/2013

B
Hawaii 5/28/2009

B
Pennsylvania 9/9/2013

B
Idaho 9/9/2013

B
Puerto Rico 11/22/2022

B
Illinois 1/31/2011

B
Rhode Island 9/9/2013

B
Indiana 1/31/2011

B
South Carolina 9/9/2013

B
Iowa 9/9/2013

B
South Dakota 9/9/2013

B
Kansas 9/9/2013

B
Tennessee 4/15/2013

B
Kentucky 9/9/2013

B
Texas 5/28/2009

B
Louisiana 4/28/2010

IA
Texas 5/28/2009

B
Maine 8/12/2011

B
Utah 9/9/2013

B
Maryland 9/9/2013

B
Vermont 9/9/2013

B
Massachusetts 9/9/2013

B
Virgin Islands 11/22/2022

B
Michigan 3/16/2010

B
Virginia 7/2/2012

B
Minnesota 9/9/2013

B
Washington 10/6/2010

B
Mississippi 11/22/2022

B
West Virginia 7/29/2014

B
Missouri 9/9/2013

B
Wisconsin 9/9/2013

B
Montana 9/9/2013

B
Wyoming 9/9/2013

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)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 5/28/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 5/28/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/23/2009 - 06/18/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
10/31/2008 - 06/18/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
11/15/2006 - 03/11/2008 GOLDMAN, SACHS & CO. (CRD#:361) 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.