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Daniel L Tai

J.P. Morgan Securities LLC

New York, NY

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
TX RA APPROVED_RES 2013-09-19
NJ RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

1230 Avenue Of The Americas Flr 3, New York, NY 10020 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New York NY 10/2012 Present
Self Brooklyn NY 12/2015 12/2017
Jpmorgan Chase Bank, N.A. New York NY 03/2004 Present
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    New York, NY
  • 12/2015 → 12/2017
    Self
    Brooklyn, NY
  • 03/2004 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
Previous Registrations
  • 2004-07-06 → 2012-10-01
    Chase Investment Services Corp.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-30
S63 Uniform Securities Agent State Law Examination 1987-11-18
  • S65 Uniform Investment Adviser Law Examination
    2004-06-30
  • S63 Uniform Securities Agent State Law Examination
    1987-11-18
Designations
Other Names
  • Lide Dai
  • Daniel L Tai
  • Daniel Lide Tai

View on SEC IAPD

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