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Brian Mui

J.P. Morgan Securities LLC

San Ramon, 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 2014-03-27
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2014-03-27
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

3104-A Crow Canyon Place, San Ramon, CA 94583 • 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
J.P. Morgan Securities Llc San Ramon CA 10/2012 Present
Jpmorgan Chase Bank, N.A. San Ramon CA 09/2009 Present
Previous Registrations
  • 2009-09-24 → 2012-10-01
    Chase Investment Services Corp.
    Livermore, CA
    Pleasanton, CA
    Danville, CA
  • 2008-09-02 → 2009-03-02
    Morgan Stanley & Co. Llc
    Cupertino, CA
  • 2007-01-05 → 2008-08-15
    National Planning Corporation
    Lake Forest, CA
    Santa Cruz, CA
  • 2005-03-07 → 2006-06-09
    Wells Fargo Investments, Llc
    Santa Cruz, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-04
  • S66 Uniform Combined State Law Examination
    2005-03-04
Other Names
  • Brian Mui
  • Brian Y Mui

View on SEC IAPD

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Other Offices

BROOKER WEALTH MANAGEMENT · San Ramon, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · San Ramon, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · San Ramon, CA
EAGLE STRATEGIES LLC · SAN RAMON, CA
EAGLE STRATEGIES LLC · SAN RAMON, CA
EAGLE STRATEGIES LLC · SAN RAMON, CA
EAGLE STRATEGIES LLC · SAN RAMON, CA
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