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Hung Au

J.P. Morgan Securities LLC

Upland, 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 2013-09-20
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-20
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

31 W Foothill Blvd, Upland, CA 91786 • 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
J.P. Morgan Securities Llc Upland CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Upland CA 04/1996 Present
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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-04-29
S63 Uniform Securities Agent State Law Examination 2000-01-24
  • 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

View on SEC IAPD

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Other Offices

TRINITY FINANCIAL PARTNERS · UPLAND, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · UPLAND, CA
TRINITY CAPITAL MANAGEMENT, LLC · Upland, CA
CHARLES SCHWAB & CO., INC. · Upland, CA
J.P. MORGAN SECURITIES LLC · UPLAND, CA
WELLS FARGO CLEARING SERVICES, LLC · UPLAND, CA
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J.P. MORGAN SECURITIES LLC · RANCHO CUCAMONGA, CA

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