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Cady Chau Tran

J.P. Morgan Securities LLC

Garden Grove, CA

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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_RES 2021-06-01
CA RA APPROVED 2019-04-04
  • TX RA
    APPROVED_RES
    Since 2021-06-01
  • CA RA
    APPROVED
    Since 2019-04-04

Branch Locations

11922 Brookhurst Street, Garden Grove, CA 92840 • 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 Westminister CA 03/2014 02/2019
Jpmorgan Chase Bank, N.A. Westminister CA 09/2016 02/2019
Jpmorgan Chase Bank, N.A. Westminister CA 03/2019 02/2020
Jpmorgan Chase Bank, N.A. Westminister CA 03/2020 01/2022
Jpmorgan Chase Bank, N.A. Garden Grove CA 02/2022 Present
J.P. Morgan Securities Llc Westminister CA 03/2020 01/2022
J.P. Morgan Securities Llc Garden Grove CA 02/2022 Present
  • 03/2014 → 02/2019
    J.P. Morgan Securities Llc
    Westminister, CA
  • 09/2016 → 02/2019
    Jpmorgan Chase Bank, N.A.
    Westminister, CA
  • 03/2019 → 02/2020
    Jpmorgan Chase Bank, N.A.
    Westminister, CA
  • 03/2020 → 01/2022
    Jpmorgan Chase Bank, N.A.
    Westminister, CA
  • 02/2022 → Present
    Jpmorgan Chase Bank, N.A.
    Garden Grove, CA
  • 03/2020 → 01/2022
    J.P. Morgan Securities Llc
    Westminister, CA
  • 02/2022 → Present
    J.P. Morgan Securities Llc
    Garden Grove, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-29
S63 Uniform Securities Agent State Law Examination 2013-07-19
  • S66 Uniform Combined State Law Examination
    2019-03-29
  • S63 Uniform Securities Agent State Law Examination
    2013-07-19
Other Names
  • Chau N Tran
  • Chau Tran
  • Chau Nguyen Bao Tran
  • Chau Nguyen Bao Tran

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · GARDEN GROVE, CA
J.P. MORGAN SECURITIES LLC · GARDEN GROVE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN GROVE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Garden Grove, CA
EAGLE STRATEGIES LLC · GARDEN GROVE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Garden Grove, CA
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