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Steve Nguyen
STEVE H NGUYEN, STEVE NGUYEN
CRD#: 6283575
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
BOSTON, MA 02110
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2020 - Present (4 years)BCITIZENS SECURITIES, INC. (CRD# 39550)2015 - 2015 (<1 year)
License(s)

State Registrations

B
California 5/14/2020

B
New Jersey 5/13/2020

B
Colorado 5/14/2020

B
New York 5/13/2020

B
Connecticut 5/11/2020

B
North Carolina 5/15/2020

IA
Connecticut 5/11/2020

B
Ohio 5/13/2020

B
Florida 5/14/2020

B
Pennsylvania 5/14/2020

B
Georgia 5/14/2020

B
Rhode Island 5/13/2020

B
Illinois 5/15/2020

B
South Carolina 5/13/2020

B
Indiana 12/20/2022

B
Tennessee 7/10/2020

B
Iowa 1/31/2023

B
Texas 5/13/2020

B
Louisiana 6/8/2020

IA
Texas 5/13/2020

B
Maine 5/14/2020

B
Vermont 5/13/2020

B
Maryland 5/13/2020

B
Virginia 5/13/2020

B
Massachusetts 5/12/2020

B
Washington 5/13/2020

B
Michigan 5/15/2020

B
Wisconsin 5/13/2020

B
New Hampshire 6/4/2020

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 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 5/11/2020

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 5/11/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/29/2019 - 12/04/2019 SANTANDER SECURITIES (CRD#:41791) BOSTON, MA
B
04/26/2019 - 12/04/2019 SANTANDER SECURITIES LLC (CRD#:41791) BOSTON, MA
IA
09/10/2018 - 03/27/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOSTON, MA
B
08/09/2018 - 03/27/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOSTON, MA
B
08/17/2015 - 10/26/2015 CITIZENS SECURITIES, INC. (CRD#:39550) QUINCY, MA
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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.