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Louis T Dong

J.P. Morgan Securities LLC

Brea, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-29
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2021-06-29
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

270 S. State College Blvd, Brea, CA 92821 • 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
Jp Morgan Securities Llc Brea CA 05/2013 Present
Jpmorgan Chase Bank, N.A Brea CA 01/2018 Present
Previous Registrations
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    West Covina, CA
    Diamond Bar, CA
    Hacienda Heights, CA
    Brea, CA
  • 2003-07-17 → 2009-05-02
    Wamu Investments, Inc.
    West Covina, CA
    Hacienda Heights, CA
    Diamond Bar, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-05
S63 Uniform Securities Agent State Law Examination 1997-01-07
  • S65 Uniform Investment Adviser Law Examination
    1998-11-05
  • S63 Uniform Securities Agent State Law Examination
    1997-01-07
Other Names
  • Louis Dong Tianliang
  • Tianliang Louis Dong
  • Louis Dong

View on SEC IAPD

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