Toan B 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
  West Covina, CA
• 10/2012 → Present
  Jpmorgan Chase Bank, N.A.
  West Covina, CA
• 09/2020 → Present
  Auco Inc.
  Phillips Ranch, CA

Previous Registrations

• 2009-05-02 → 2012-10-01
  Chase Investment Services Corp.
  Upland, CA
  Upland, CA
  West Covina, CA
• 2008-07-01 → 2009-05-02
  Wamu Investments, Inc.
  Upland, CA
  Ontario, CA
  Upland, CA

Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: AUCO INC POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 9/23/2020 ADDRESS: 12 Phillips Ranch, CA DETAILS: 12 PHILLIPS RANCH, CA. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 5 HOURS DURING TRADING: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-30
• S63 Uniform Securities Agent State Law Examination
  2004-10-01

Other Names

• Toan Ban Au