Cuong Le

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• S66 Uniform Combined State Law Examination
  2002-12-27
• S63 Uniform Securities Agent State Law Examination
  2002-06-03

Other Names

• Cuong Van Le