Hung Au

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 → Present
  J.P. Morgan Securities Llc
  Upland, CA
• 04/1996 → Present
  Jpmorgan Chase Bank, N.A.
  Upland, CA

Previous Registrations

• 2009-05-02 → 2012-10-01
  Chase Investment Services Corp.
  Montclair, CA
  Upland, CA
  Rancho Cucamonga, CA
  Upland, CA
• 2009-05-01 → 2009-05-02
  Wamu Investments, Inc.
  Rancho Cucamonga, CA
  Montclair, CA
  Rancho Cucamonga, CA
  Ontario, CA
  Upland, CA
  Upland, CA
  Upland, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-04-29
• S63 Uniform Securities Agent State Law Examination
  2000-01-24

Other Names

• Andy Au
• Hung Ban Au