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Cuong Le

J.P. Morgan Securities LLC

Garden Grove, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-06-13
  • CA RA
    APPROVED
    Since 2018-06-13

Branch Locations

12851 Harbor Blvd., Garden Grove, CA 92840 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Orange CA 10/2012 03/2017
Jpmorgan Chase Bank, N.A. Orange CA 05/2009 03/2017
Bank Of America Garden Grove CA 03/2017 12/2017
Mr. Cooper Santa Ana CA 01/2018 04/2018
Jpmorgan Chase Bank, N.A. Tustin CA 05/2018 11/2023
J.P. Morgan Securities Llc Tustin CA 06/2018 11/2023
Jpmc Bank Na (Southwest) Garden Grove CA 11/2023 Present
J.P. Morgan Securities Llc Garden Grove CA 11/2023 Present
  • 10/2012 → 03/2017
    J.P. Morgan Securities Llc
    Orange, CA
  • 05/2009 → 03/2017
    Jpmorgan Chase Bank, N.A.
    Orange, CA
  • 03/2017 → 12/2017
    Bank Of America
    Garden Grove, CA
  • 01/2018 → 04/2018
    Mr. Cooper
    Santa Ana, CA
  • 05/2018 → 11/2023
    Jpmorgan Chase Bank, N.A.
    Tustin, CA
  • 06/2018 → 11/2023
    J.P. Morgan Securities Llc
    Tustin, CA
  • 11/2023 → Present
    Jpmc Bank Na (Southwest)
    Garden Grove, CA
  • 11/2023 → Present
    J.P. Morgan Securities Llc
    Garden Grove, CA
Previous Registrations
  • 2012-10-01 → 2017-03-22
    J.P. Morgan Securities Llc
    Orange, CA
    Tustin, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Orange, CA
  • 2008-02-20 → 2009-05-02
    Wamu Investments, Inc.
    Orange, CA
  • 2004-01-08 → 2007-10-24
    Essex National Securities, Llc
    Los Angeles, CA
    Los Angeles, CA
  • 2003-01-02 → 2003-11-12
    Ubs Financial Services Inc.
    Pasadena, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-27
S63 Uniform Securities Agent State Law Examination 2002-06-03
  • S66 Uniform Combined State Law Examination
    2002-12-27
  • S63 Uniform Securities Agent State Law Examination
    2002-06-03
Other Names
  • Cuong Van Le

View on SEC IAPD

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LPL FINANCIAL LLC · GARDEN GROVE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN GROVE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Garden Grove, CA
EAGLE STRATEGIES LLC · GARDEN GROVE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Garden Grove, CA
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