Jimmy Vo, financial advisor Northridge CA
77 score

Jimmy Vo

CRD Number: 6232191
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jimmy Vo (CRD# 6232191) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Northridge, CA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northridge, CA Oct 2014 - Current 2
Bank Of America, N.a. Northridge, CA Oct 2014 - Current 2
Unemployed Westlake Village, CA Sep 2014 - Oct 2014 < 1
Morgan Stanley Woodland Hills, CA Jul 2013 - Sep 2014 1
Liberty Mutual Group Woodland Hills, CA Aug 2012 - Jul 2013 < 1
Unemployed Woodland Hills, CA Mar 2012 - Aug 2012 < 1
Adelman & Seide, LLP Calabasas, CA Jun 2001 - Mar 2012 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Jimmy Vo
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
77

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