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Tony Mak

J.P. Morgan Securities LLC

Fremont, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-01-03
TX RA APPROVED 2020-01-03
  • CA RA
    APPROVED
    Since 2020-01-03
  • TX RA
    APPROVED
    Since 2020-01-03

Branch Locations

46645 Mission Blvd, Fremont, CA 94539 • 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 Securities Llc Newark CA 10/2014 10/2019
J.P. Morgan Securities Llc Fremont CA 11/2019 07/2020
J.P. Morgan Securities Llc Fremont CA 08/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-02
S63 Uniform Securities Agent State Law Examination 2013-05-30
  • S66 Uniform Combined State Law Examination
    2020-01-02
  • S63 Uniform Securities Agent State Law Examination
    2013-05-30
Other Names
  • Tony Mak
  • Tony H Mak
  • Tony Mak
  • Tony Ho Kai Mak

View on SEC IAPD

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AJAY AGRAWAL · FREMONT, CA
PARAH CAPITAL MANAGEMENT, LLC · FREMONT, CA
WELLS FARGO CLEARING SERVICES, LLC · FREMONT, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FREMONT, CA
CETERA INVESTMENT ADVISERS LLC · FREMONT, CA
WELLS FARGO CLEARING SERVICES, LLC · FREMONT, CA
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