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Kristi Jin Bae

J.P. Morgan Securities LLC

La Habra, CA

CRD 5406771

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2020-03-03
TX RA APPROVED 2020-03-03
  • CA RA
    APPROVED
    Since 2020-03-03
  • TX RA
    APPROVED
    Since 2020-03-03

Branch Locations

1300 W. Imperial Hwy., La Habra, CA 90631 • 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 La Habra CA 12/2009 02/2020
J.P. Morgan Securities Llc La Habra CA 03/2020 07/2020
Jpmorgan Chase Bank, Na La Habra CA 08/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-04
S63 Uniform Securities Agent State Law Examination 2010-04-23
  • S66 Uniform Combined State Law Examination
    2020-02-04
  • S63 Uniform Securities Agent State Law Examination
    2010-04-23
Other Names
  • Kyong Chin Bae
  • Kristi Jin Bae
  • Kristi Jin Bae
  • Kristi Jin Park

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP. · La Habra, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LA HABRA, CA
WELLS FARGO CLEARING SERVICES, LLC · LA HABRA, CA

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