Charmaine Chow

J.P. Morgan Securities LLC

Claim This Profile

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-09-13
CA	RA	APPROVED	2015-03-02

TX RA
APPROVED_RES

Since 2021-09-13
CA RA
APPROVED

Since 2015-03-02

Branch Locations

401 E. Valley Blvd., Alhambra, CA 91801 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	Alhambra	CA	02/2015	Present
J.P. Morgan Securities Llc	Alhambra	CA	02/2015	Present

02/2015 → Present

Jpmorgan Chase Bank, N.A.

Alhambra, CA
02/2015 → Present

J.P. Morgan Securities Llc

Alhambra, CA

Previous Registrations

2012-02-16 → 2015-03-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hacienda Heights, CA

New York, NY

Hacienda Heights, CA

West Covina, CA

Hacienda Heights, CA

Hacienda Heights, CA

Rowland Heights, CA
2011-10-27 → 2012-01-25

U.S. Bancorp Advisors, Llc

Arcadia, CA
2011-01-03 → 2011-08-10

Wells Fargo Clearing Services, Llc

Alhambra, CA
2009-11-30 → 2011-01-03

Wells Fargo Investments, Llc

Monterey Park, CA

Alhambra, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-11-28
S63	Uniform Securities Agent State Law Examination	2006-01-24

S66 Uniform Combined State Law Examination

2009-11-28
S63 Uniform Securities Agent State Law Examination

2006-01-24

Other Names

Charmaine Chow
Charmaine W Chow
Charmaine Chow
Charmaine Wai Ming Chow

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

JAVIER R VALENZUELA

Samuel Kwun Pong Lau

JAY WEICHEN DING

KAREN HO LING CHAN

Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Alhambra, CA

STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA

J.P. MORGAN SECURITIES LLC · ALHAMBRA, CA

WELLS FARGO CLEARING SERVICES, LLC · ALHAMBRA, CA

CETERA INVESTMENT ADVISERS LLC · ALHAMBRA, CA

MML INVESTORS SERVICES, LLC · Alhambra, CA

STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA

BLUE CANYON WEALTH · SOUTH PASADENA, CA

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