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Ann Chen

J.P. Morgan Securities LLC

Oakland, 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 2025-02-21
CA RA APPROVED 2022-10-17
  • TX RA
    APPROVED_RES
    Since 2025-02-21
  • CA RA
    APPROVED
    Since 2022-10-17

Branch Locations

5114 Broadway, Oakland, CA 94611 • 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 Pleasanton CA 08/2018 08/2020
New York Life Insurance San Ramon CA 06/2018 10/2018
Unemployed Dublin CA 11/2014 06/2018
Jpmorgan Chase Bank, N.A. Pleasanton CA 08/2018 08/2020
Fremont Bank Livermore CA 08/2020 06/2021
Charles Schwab & Co., Inc. Walnut CA 06/2021 10/2021
Charles Schwab Bank Ssb Walnut Creek CA 06/2021 10/2021
J.P. Morgan Securities Llc Oakland CA 11/2021 Present
Jpmorgan Chase Bank, N.A. Oakland CA 11/2021 Present
Massachusetts Mutual Life Insurance Co San Ramon CA 06/2018 07/2018
  • 08/2018 → 08/2020
    J.P. Morgan Securities Llc
    Pleasanton, CA
  • 06/2018 → 10/2018
    New York Life Insurance
    San Ramon, CA
  • 11/2014 → 06/2018
    Unemployed
    Dublin, CA
  • 08/2018 → 08/2020
    Jpmorgan Chase Bank, N.A.
    Pleasanton, CA
  • 08/2020 → 06/2021
    Fremont Bank
    Livermore, CA
  • 06/2021 → 10/2021
    Charles Schwab & Co., Inc.
    Walnut, CA
  • 06/2021 → 10/2021
    Charles Schwab Bank Ssb
    Walnut Creek, CA
  • 11/2021 → Present
    J.P. Morgan Securities Llc
    Oakland, CA
  • 11/2021 → Present
    Jpmorgan Chase Bank, N.A.
    Oakland, CA
  • 06/2018 → 07/2018
    Massachusetts Mutual Life Insurance Co
    San Ramon, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-16
S63 Uniform Securities Agent State Law Examination 2018-11-08
  • S66 Uniform Combined State Law Examination
    2022-09-16
  • S63 Uniform Securities Agent State Law Examination
    2018-11-08
Other Names
  • Annie Chen
  • Ann Chen
  • Ann P Chen
  • Ann Patricia Chen

View on SEC IAPD

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Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
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Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

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