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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 2021-12-12
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2021-12-12
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

3057 Stevens Creek Blvd, Santa Clara, CA 95050 • 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
Wamu San Jose CA 04/2006 12/2025
Wamu Investments Inc San Jose CA 08/2008 12/2025
Bach Apparel San Jose CA 01/2007 Present
J.P. Morgan Securities Llc Santa Clara CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Santa Clara CA 10/2012 Present
  • 04/2006 → 12/2025
    Wamu
    San Jose, CA
  • 08/2008 → 12/2025
    Wamu Investments Inc
    San Jose, CA
  • 01/2007 → Present
    Bach Apparel
    San Jose, CA
  • 10/2012 → Present
    Santa Clara, CA
  • 10/2012 → Present
    Jpmorgan Chase Bank, N.A.
    Santa Clara, CA
Previous Registrations
  • 2012-03-20 → 2012-10-01
    Chase Investment Services Corp.
    San Jose, CA
    San Jose, CA
    San Jose, CA
    Santa Clara, CA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: BACH APPAREL POSITION: OWNER START DATE: 1/1/2007 ADDRESS: 432 SAN JOSE, CA DETAILS: SCREEN PRINTING BUSINESS MANAGED AND CONTROLLED BY I, BUT PRODUCTION IS THROUGH 3RD PARTY VENDOR. I DO NOT NEED CONTRIBUTE MY TIME INTO MANAGING THE BUSINESS BECAUSE THIS BUSINESS IS CONTINUE TO PROVIDE SERVICES FOR MY EXISTING CLIENTS AND NOT BEING MARKET TO ATTRACT NEW CUSTOMERS. HOURS DEDICATED (per month unless otherwise indicated): JUST A FEW PHONE CALL IF NEEDED TO THE VENDOR BESIDE FROM NOT NOT MUCH TIME IS REQUIRED. HOURS DURING TRADING: 0 INVESTMENT RELATED: NO

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-13
S63 Uniform Securities Agent State Law Examination 2009-03-27
  • S66 Uniform Combined State Law Examination
    2012-03-13
  • S63 Uniform Securities Agent State Law Examination
    2009-03-27
Other Names
  • Huu Dotuan Bach
  • John Bach
  • John Huu Bach

View on SEC IAPD

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