Stephen Lo

J.P. Morgan Securities LLC

Claim This Profile

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-02-09
CA	RA	APPROVED	2015-04-03

TX RA
APPROVED

Since 2016-02-09
CA RA
APPROVED

Since 2015-04-03

Branch Locations

24000 Valencia Blvd. Floor 2, Valencia, CA 91355 • 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

Organization	City	State	From	To
Jpmorgan Securities Llc	Valencia	CA	03/2015	Present

03/2015 → Present

Jpmorgan Securities Llc

Valencia, CA

Previous Registrations

2009-03-11 → 2015-04-01

Cuso Financial Services, L.P.

Las Vegas, NV

Las Vegas, NV

North Las Vegas, NV

Las Vegas, NV

Las Vegas, NV

Las Vegas, NV
2008-08-05 → 2008-12-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Las Vegas, NV
2007-10-03 → 2008-08-05

Ubs Financial Services Inc.

Las Vegas, NV

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-10-02

S66 Uniform Combined State Law Examination

2007-10-02

Other Names

Stephen Lo
Stephen C Lo
Stephen C Lo
Stephen Lo
Stephen Cee-Wrun Lo

View on SEC IAPD

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Other Offices

PROSPERITAS FINANCIAL, LLC · VALENCIA, CA

PROSPERITAS FINANCIAL, LLC · Valencia, CA

STATE FARM INVESTMENT MANAGEMENT CORP. · Valencia, CA

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OSAIC WEALTH, INC. · SANTA CLARITA, CA

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