Lien Lay

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → Present
  J.P. Morgan Securities Llc
  Alameda, CA
• 10/2012 → Present
  Jpmorgan Chase Bank, N.A.
  Alameda, CA

Previous Registrations

• 2009-05-14 → 2012-10-01
  Chase Investment Services Corp.
  Alameda, CA
  Alameda, CA
  Alameda, CA
  Alameda, CA
• 2008-09-29 → 2009-03-26
  Banc Of America Investment Services, Inc.
  San Francisco, CA
  San Francisco, CA
• 2007-01-17 → 2008-08-27
  Chase Investment Services Corp.
  Houston, TX
  Houston, TX

Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 6/30/2014 ADDRESS: 2237 OAKLAND, CA. 1038 EL CERRITO, CA. DETAILS: Rental properties HOURS DEDICATED (per month unless otherwise indicated): 2 HOURS HOURS DURING TRADING: 0 INVESTMENT RELATED: NO

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-01-14
• S63 Uniform Securities Agent State Law Examination
  2005-12-21

Designations

• Certified Financial Planner

Other Names

• Lynn Lay