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Detailed Report
Kim Ngan Ha Pang
KIM N NGUYEN, KIM NGAN NGUYEN, KIM NGUYEN, KIM NGAN HA NGUYEN, NGAN K NGUYEN…
CRD#: 6768484
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 680 East Colorado Blvd
Suite 100
Pasadena, CA 91101
Registration History
2018201920202021202220232024202520262 FIRMS2023 - Present (2 years)BPIMCO INVESTMENTS LLC (CRD# 154957)2021 - 2022 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - 2021 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2021 (2 years)
License(s)

State Registrations

IA
California 1/9/2023
B
California 1/14/2023

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
680 East Colorado Blvd Suite 100, Pasadena, CA 91101
Registered with this firm since 1/9/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
680 East Colorado Blvd Suite 100, Pasadena, CA 91101
Registered with this firm since 1/9/2023
Previous Registration(s)
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B
 11/09/2021 - 12/09/2022 PIMCO INVESTMENTS LLC (CRD#:154957) NEWPORT BEACH, CA
IA
 02/26/2019 - 11/05/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BREA, CA
B
 09/24/2018 - 11/05/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BREA, 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.