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Mike Lo

J.P. Morgan Securities LLC

Temple City, 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_RES 2023-12-14
CA RA APPROVED 2021-07-07
  • TX RA
    APPROVED_RES
    Since 2023-12-14
  • CA RA
    APPROVED
    Since 2021-07-07

Branch Locations

9647 E. Las Tunas Drive, Temple City, CA 91780 • 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
Citigroup Global Markets Inc San Gabriel CA 01/2012 06/2021
Jp Morgan Chase Bank, N.A. Temple City CA 06/2021 Present
J.P. Morgan Securities Llc Temple City CA 06/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-17
S63 Uniform Securities Agent State Law Examination 2011-08-22
S65 Uniform Investment Adviser Law Examination 2006-08-11
  • S66 Uniform Combined State Law Examination
    2020-08-17
  • S63 Uniform Securities Agent State Law Examination
    2011-08-22
  • S65 Uniform Investment Adviser Law Examination
    2006-08-11
Other Names
  • Mark Lo
  • Mike Lo
  • Mike Rong Hui Lo

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC · TEMPLE CITY, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TEMPLE CITY, CA
CITIGROUP GLOBAL MARKETS INC. · Temple City, CA
CETERA INVESTMENT ADVISERS LLC · TEMPLE CITY, CA
RF CAPITAL MANAGEMENT · ARCADIA, CA
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