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Ellen Nguyen

J.P. Morgan Securities LLC

Castro Valley, CA

CRD 6685044

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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:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-10-08
  • CA RA
    APPROVED
    Since 2022-10-08

Branch Locations

3449 Castro Valley Blvd, Castro Valley, CA 94546 • 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 Castro Valley CA 07/2016 Present
Jpmc Bank Na (Southwest) Castro Valley CA 07/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-07
S63 Uniform Securities Agent State Law Examination 2016-09-07
  • S66 Uniform Combined State Law Examination
    2022-10-07
  • S63 Uniform Securities Agent State Law Examination
    2016-09-07

View on SEC IAPD

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Nearby Offices

MWA FINANCIAL SERVICES INC. · Castro Valley, CA
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