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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 2024-08-27
  • CA RA
    APPROVED
    Since 2024-08-27

Branch Locations

6875 Quail Hill Parkway, Irvine, CA 92603 • United States

2244 Barranca Pkwy, Irvine, CA 92606 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Irvine CA 05/2019 08/2024
Aig Fiancial Network/Agl Emp Dist Pasadena CA 09/2016 05/2019
Bank Of America, N.A. Irvine CA 05/2019 08/2024
T&M Trading Company Yorba Linda CA 05/2015 Present
Diamond Bar Chinese School Diamond Bar CA 05/2017 Present
J.P. Morgan Securities Llc Irvine CA 08/2024 Present
Jpmorgan Chase Bank, N.A. Irvine CA 08/2024 Present
  • 05/2019 → 08/2024
    Irvine, CA
  • 09/2016 → 05/2019
    Aig Fiancial Network/Agl Emp Dist
    Pasadena, CA
  • 05/2019 → 08/2024
    Bank Of America, N.A.
    Irvine, CA
  • 05/2015 → Present
    T&M Trading Company
    Yorba Linda, CA
  • 05/2017 → Present
    Diamond Bar Chinese School
    Diamond Bar, CA
  • 08/2024 → Present
    Irvine, CA
  • 08/2024 → Present
    Jpmorgan Chase Bank, N.A.
    Irvine, CA
Previous Registrations
Other Businesses

Entity Name: T&M Trading Company Investment related: No Address: Private Residence Nature of the other business: Marketing Position/Title/Relationship: Owner/Partner Start Date: 05/01/2015 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: T&M Trading is my family own company, provide service of retail food products promotion. I am the family member. Entity Name: Diamond Bar Chinese School Investment related: No Address: 21400 Pathfinder Rd, Diamond Bar. CA 91765 Nature of the other business: Educational Position/Title/Relationship: Employee/Contractor Start Date: 05/06/2017 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: It`s a non profitable organization, which teaches kids to speak Chinese on Saturday morning only.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-26
  • S66 Uniform Combined State Law Examination
    2019-09-26
Other Names
  • Jian Ming Zang
  • Tony Zang

View on SEC IAPD

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