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John K. Chau

J.P. Morgan Securities LLC

Anaheim Hills, CA

Anaheim, 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 2016-03-31
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED
    Since 2016-03-31
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

8166 E Santa Ana Canyon Rd, Ste 200, Anaheim Hills, CA 92808 • United States

5791 E Santa Ana Canyon Rd, Anaheim, CA 92807 • 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 Anaheim Hills CA 10/2012 Present
Previous Registrations
  • 2012-09-05 → 2012-10-01
    Chase Investment Services Corp.
    Anaheim Hills, CA
    Anaheim Hills, CA
    Anaheim, CA
  • 2006-11-01 → 2012-09-10
    Bancwest Investment Services, Inc.
    Santa Ana, CA
    Stanton, CA
    Santa Ana, CA
    Santa Ana, CA
    Irvine, CA
    Newport Beach, CA
    Tustin, CA
    Foothill Ranch, CA
    Mission Viejo, CA
  • 2002-08-30 → 2006-10-31
    Banc Of America Investment Services, Inc.
    Irvine, CA
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-21
S63 Uniform Securities Agent State Law Examination 1999-01-06
  • S65 Uniform Investment Adviser Law Examination
    1999-01-21
  • S63 Uniform Securities Agent State Law Examination
    1999-01-06
Designations
Other Names
  • John Kien Chau
  • John K Chau

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ANAHEIM, CA
TCFG INVESTMENT ADVISORS, LLC · Anaheim Hills, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Anaheim, CA
LPL FINANCIAL LLC · ANAHEIM, CA
COMMONWEALTH FINANCIAL NETWORK · ANAHEIM HILLS, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Anaheim, CA
MCILRATH & ECK, LLC · Anaheim, CA
GRIFFIN FINANCIAL · ANAHEIM HILLS, CA

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