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Henry Lau

J.P. Morgan Securities LLC

City Of Industry, CA

CRD 6328441

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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 2016-03-15
CA RA APPROVED 2016-03-11
  • TX RA
    APPROVED
    Since 2016-03-15
  • CA RA
    APPROVED
    Since 2016-03-11

Branch Locations

17247 Colima Rd, City Of Industry, CA 91748 • 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 City Of Industry CA 03/2016 Present
Jpmorgan Chase Bank, N.A. City Of Industry CA 03/2016 Present
  • 03/2016 → Present
    J.P. Morgan Securities Llc
    City Of Industry, CA
  • 03/2016 → Present
    Jpmorgan Chase Bank, N.A.
    City Of Industry, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-08
  • S66 Uniform Combined State Law Examination
    2014-08-08
Designations
  • Chartered Financial Consultant
Other Names
  • Henry Lau
  • Henry P Lau
  • Henry Pochun Lau

View on SEC IAPD

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