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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 2023-09-21
TX RA APPROVED 2023-09-21
  • CA RA
    APPROVED
    Since 2023-09-21
  • TX RA
    APPROVED
    Since 2023-09-21

Branch Locations

201 S. Lake Ave Floor 7, Pasadena, CA 91101 • 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
Payden & Rygel Los Angeles CA 11/2004 01/2020
Miracle Mile Advisors, Llc Los Angeles CA 01/2020 10/2022
Jpmorgan Chase Bank, N.A. Pasadena CA 06/2023 Present
J.P. Morgan Securities Llc Pasadena CA 06/2023 Present
Unemployed La Canada Flintridge CA 11/2022 05/2023
  • 11/2004 → 01/2020
    Payden & Rygel
    Los Angeles, CA
  • 01/2020 → 10/2022
    Miracle Mile Advisors, Llc
    Los Angeles, CA
  • 06/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Pasadena, CA
  • 06/2023 → Present
    Pasadena, CA
  • 11/2022 → 05/2023
    Unemployed
    La Canada Flintridge, CA
Previous Registrations
Other Businesses

Entity Name: Foundation for the Los Angeles Community Colleges Investment related: No "Address: 770 Wilshire Blvd Los Angeles, CA 90017 https://www.laccd.edu/about/foundation" Nature of the other business: Non-Profit Position/Title/Relationship: Board Member Start Date: 02/27/2024 Approximate # of hours a week 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: The Foundation supports giving and partnerships that advance higher education for the diverse students and communities served by the Los Angeles Community College District. The Foundation is an independent 501(c)(3) nonprofit organization. My responsibilities would include be an ambassador, active and participation and attendance, serve on a subcommittee, and help raise or give min $500 annually."

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-16
S63 Uniform Securities Agent State Law Examination 1998-07-21
  • S66 Uniform Combined State Law Examination
    2023-06-16
  • S63 Uniform Securities Agent State Law Examination
    1998-07-21
Designations
Other Names
  • Frank Joo Lee

View on SEC IAPD

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