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Loc X. Nguyen

J.P. Morgan Securities LLC

Hickory Hills, IL

CRD 5697402

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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
TX RA APPROVED_RES 2021-03-22
IL RA APPROVED 2014-09-08
  • TX RA
    APPROVED_RES
    Since 2021-03-22
  • IL RA
    APPROVED
    Since 2014-09-08

Branch Locations

9540 S Roberts Rd, Hickory Hills, IL 60457 • 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
Jpmorgan Chase Bank, Na. Hickory Hills IL 02/2010 Present
J.P. Morgan Securities Llc Hickory Hills IL 10/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-28
S63 Uniform Securities Agent State Law Examination 2009-08-05
  • S66 Uniform Combined State Law Examination
    2014-08-28
  • S63 Uniform Securities Agent State Law Examination
    2009-08-05
Other Names
  • Loc Xuan Nguyen

View on SEC IAPD

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