Trung La

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_RES	2022-12-06
CA	RA	APPROVED	2022-11-30

TX RA
APPROVED_RES

Since 2022-12-06
CA RA
APPROVED

Since 2022-11-30

Branch Locations

1888 Century Park E, Floor 5, Los Angeles, CA 90067 • United States

50 Rowes Wharf, Boston, MA 02110 • 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
Scottrade, Inc.	Redland	CA	10/2010	03/2018
Stockpile Investments	Pasadena	CA	03/2018	08/2018
Lpl Financial Llc	San Diego	CA	09/2018	10/2022
Jpmorgan Chase Bank, Na	Los Angeles	CA	11/2022	Present
Jpmorgan Securities Llc	Los Angeles	CA	11/2022	Present

10/2010 → 03/2018

Scottrade, Inc.

Redland, CA
03/2018 → 08/2018

Stockpile Investments

Pasadena, CA
09/2018 → 10/2022

Lpl Financial Llc

San Diego, CA
11/2022 → Present

Jpmorgan Chase Bank, Na

Los Angeles, CA
11/2022 → Present

Jpmorgan Securities Llc

Los Angeles, CA

Previous Registrations

2018-09-05 → 2022-11-21

Lpl Financial Llc

Rancho Cucamonga, CA

San Diego, CA
2017-02-09 → 2018-03-08

Scottrade Investment Management

Saint Louis, MO

Other Businesses

Entity Name: Pirouette Pharma Investment related: No Address: 200 International Drive, Suite 170-180, Portsmouth, New Hampshire, 03801 https://www.pirouettepharma.com/ https://seed.nih.gov/portfolio/nih-portfolio-company-showcase/pirouette-medical https://wefunder.com/pirouette Nature of the other business: Pharmaceuticals Position/Title/Relationship: Owner/Partner Start Date: 03/17/2026 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Pirouette Pharma is developing improved presentations of multiple well-characterized injectable medicines I have no responsibilities and will strictly be a passive investor. There is no connection to JPM that I know of. Entity Name: FINRA Investment related: No Address: Rancho Cucamonga, California 91739 https://www.finra.org/arbitration-mediation/become-finra-arbitrator Nature of the other business: Self-Regulatory Organization Position/Title/Relationship: Employee/Contractor Start Date: 01/05/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: approved FINRA dispute resolutions services arbitrator. Credential ID A66270 1. 12/16/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Other-FINRA ARBITRATOR - Start Date: 12/20/2021 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-02-08
S63	Uniform Securities Agent State Law Examination	2007-11-30

S66 Uniform Combined State Law Examination

2017-02-08
S63 Uniform Securities Agent State Law Examination

2007-11-30

Other Names

Trung Khanh La

View on SEC IAPD