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Tom Gai

J.P. Morgan Securities LLC

San Mateo, CA

Belmont, CA

CRD 5956453

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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
TX RA APPROVED_RES 2019-01-15
CA RA APPROVED 2014-01-02
  • TX RA
    APPROVED_RES
    Since 2019-01-15
  • CA RA
    APPROVED
    Since 2014-01-02

Branch Locations

2900 S Norfolk St, San Mateo, CA 94403 • United States

1888 Ralston Ave, Belmont, CA 94002 • 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
Jp Morgan Securities, Llc San Mateo CA 02/2016 Present
Jp Morgan Chase Bank, N.A. San Mateo CA 02/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-30
S63 Uniform Securities Agent State Law Examination 2011-08-22
  • S66 Uniform Combined State Law Examination
    2013-12-30
  • S63 Uniform Securities Agent State Law Examination
    2011-08-22
Other Names
  • Thomas Xingyou Gai
  • Tom X Gai
  • Tom Xingyou Gai

View on SEC IAPD

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