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Alan Au

J.P. Morgan Securities LLC

Oakland Gardens, NY

Bayside, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
NJ RA APPROVED 2017-11-28
TX RA APPROVED 2017-11-27
  • NY RA
    APPROVED
    Since 2021-05-03
  • NJ RA
    APPROVED
    Since 2017-11-28
  • TX RA
    APPROVED
    Since 2017-11-27

Branch Locations

6103 Springfield Blvd., Oakland Gardens, NY 11364 • United States

41-22 Bell Boulevard, Bayside, NY 11361 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Flushing Bank Flushing NY 05/2014 10/2016
Infinex Investments, Inc. Bayside NY 07/2016 10/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Elmhurst NY 01/2017 11/2017
Bank Of America, N.A. Elmhurst NY 01/2017 11/2017
Unemployed Flushing NY 10/2016 01/2017
Jp Morgan Securities Llc Bayside NY 11/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-20
S63 Uniform Securities Agent State Law Examination 2014-09-22
  • S66 Uniform Combined State Law Examination
    2016-09-20
  • S63 Uniform Securities Agent State Law Examination
    2014-09-22

View on SEC IAPD

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