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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 2017-05-11
  • CA RA
    APPROVED
    Since 2017-05-11

Branch Locations

2670 Berryessa Road, San Jose, CA 95132 • 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
Jp Morgan Securities Llc San Jose CA 04/2013 Present
Jp Morgan Chase Bank San Jose CA 06/2012 01/2018
Jpmorgan Chase Bank, N.A. San Jose CA 01/2018 Present
  • 04/2013 → Present
    San Jose, CA
  • 06/2012 → 01/2018
    Jp Morgan Chase Bank
    San Jose, CA
  • 01/2018 → Present
    Jpmorgan Chase Bank, N.A.
    San Jose, CA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 9/1/2010 ADDRESS: 2228 SAN JOSE, CA. DETAILS: Rental property HOURS DEDICATED (per month unless otherwise indicated): NONE HOURS DURING TRADING: 0 INVESTMENT RELATED: YES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-29
S63 Uniform Securities Agent State Law Examination 2013-10-23
  • S66 Uniform Combined State Law Examination
    2017-04-29
  • S63 Uniform Securities Agent State Law Examination
    2013-10-23
Other Names
  • Phan Ngoc Nham
  • Kim Phan Lee

View on SEC IAPD

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