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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 2016-08-04
  • TX RA
    APPROVED
    Since 2016-08-04

Branch Locations

2430 Highway 6, Sugar Land, TX 77478 • 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
Jpmorgan Securities Llc Houston TX 08/2016 Present
  • 08/2016 → Present
    Jpmorgan Securities Llc
    Houston, TX
Previous Registrations
  • 2016-05-24 → 2016-07-27
    Capital One Advisors, Llc
    Sugar Land, TX
    Mclean, VA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 5/1/2017 ADDRESS:3918, Missouri city TX DETAILS: Manage my rental property HOURS DEDICATED (per month unless otherwise indicated): 1-2 HOURS HOURS DURING TRADING: 0 INVESTMENT RELATED:YES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-22
S63 Uniform Securities Agent State Law Examination 2011-11-15
  • S66 Uniform Combined State Law Examination
    2016-05-22
  • S63 Uniform Securities Agent State Law Examination
    2011-11-15
Other Names
  • Shirley Yao

View on SEC IAPD

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