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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 2013-12-04
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED
    Since 2013-12-04
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

2270 Otis Drive, Alameda, CA 94501 • 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 Alameda CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Alameda CA 10/2012 Present
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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-14
S63 Uniform Securities Agent State Law Examination 2005-12-21
  • S65 Uniform Investment Adviser Law Examination
    2007-01-14
  • S63 Uniform Securities Agent State Law Examination
    2005-12-21
Designations
Other Names
  • Lynn Lay

View on SEC IAPD

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