James J Ng

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:

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-05-03
TX	RA	APPROVED_RES	2015-07-28
NJ	RA	APPROVED	2012-10-01

NY RA
APPROVED

Since 2021-05-03
TX RA
APPROVED_RES

Since 2015-07-28
NJ RA
APPROVED

Since 2012-10-01

Branch Locations

82 Seventh St., Garden City, NY 11530 • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Williston Park	NY	10/2012	Present

10/2012 → Present

J.P. Morgan Securities Llc

Williston Park, NY

Previous Registrations

2006-07-12 → 2012-10-01

Chase Investment Services Corp.

Garden City, NY

Mineola, NY

Oceanside, NY

Garden City, NY

North Patchogue, NY

Oceanside, NY

Williston Park, NY

Mineola, NY

Rockville Centre, NY
2006-01-03 → 2006-06-02

Morgan Stanley Dw Inc.

Melville, NY

Melville, NY

Other Businesses

Entity Name: Advenir Investment related: No "Address: 17501 Biscayne Blvd Ste 300 Aventura FL 33160" Nature of the other business: Real Estate Position/Title/Relationship: Owner Partner Start Date: 06/04/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Advenir owns, operates and develops Multi and Single Family rental communities. Entity Name: Winston Brower LLC Investment related: Yes "Address: 136 Brower Ave Rockville Centre, NY 11570" Nature of the other business: Real Estate Position/Title/Relationship: Board Member Start Date: 07/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Real Estate Investment, Managing Member No overlap or conflict with JPMC role." Entity Name: NPL Mortar LLC Investment related: N Address: Rockville Centre, NY Nature of the other business: Construction Position/Title/Relationship: Owner/Partner Start Date: 12/03/2019 Approximate # of hours a month: Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Passive Investor

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-08-12

S66 Uniform Combined State Law Examination

2004-08-12

Designations

Certified Financial Planner

Other Names

James J. Ng

View on SEC IAPD