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Katherine Chen

J.P. Morgan Securities LLC

Plainview, NY

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2025-10-09
NY RA APPROVED 2024-08-08
  • OH RA
    APPROVED
    Since 2025-10-09
  • NY RA
    APPROVED
    Since 2024-08-08

Branch Locations

404 Woodbury Road, Plainview, NY 11803 • 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 Plainview NY 07/2015 Present
Jpmorgan Chase Bank, N.A. Plainview NY 09/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-15
S63 Uniform Securities Agent State Law Examination 2015-11-13
  • S66 Uniform Combined State Law Examination
    2024-07-15
  • S63 Uniform Securities Agent State Law Examination
    2015-11-13
Other Names
  • Yayun Chen
  • Kate Chen
  • Katherine Y Chen
  • Katherine Yayun Chen
  • Katherine Chen

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · PLAINVIEW, NY
CONCURRENT INVESTMENT ADVISORS, LLC · Plainview, NY
CITIGROUP GLOBAL MARKETS INC. · PLAINVIEW, NY
LPL FINANCIAL LLC · PLAINVIEW, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Plainview, NY
OSAIC WEALTH, INC. · PLAINVIEW, NY
FINANCIAL BOSS · PLAINVIEW, NY
ARCAP PARTNERS LLC · PLAINVIEW, NY

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