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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 2014-06-26
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2014-06-26
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

840 N. San Fernando Blvd., Burbank, CA 91502 • 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 Burbank CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Burbank CA 11/2010 Present
Previous Registrations
  • 2010-12-07 → 2012-10-01
    Chase Investment Services Corp.
    Glendale, CA
    Glendale, CA
    Hollywood, CA
  • 2007-05-16 → 2010-12-06
    Glendale, CA
    Los Angeles, CA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 6/29/2015 ADDRESS: 1339 Glendale CA DETAILS: Rental Property INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 1 HOURS DURING TRADING: 1

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-15
  • S66 Uniform Combined State Law Examination
    2007-05-15
Other Names
  • David Kwang Yup Lee

View on SEC IAPD

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