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James Ku

J.P. Morgan Securities LLC

Santa Clara, 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 2024-03-13
CA RA APPROVED 2023-11-15
  • TX RA
    APPROVED
    Since 2024-03-13
  • CA RA
    APPROVED
    Since 2023-11-15

Branch Locations

3057 Stevens Creek Blvd, Santa Clara, CA 95050 • 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 Sunnyvale CA 08/2023 Present
Jpmorgan Chase Bank, N.A. Sunnyvale CA 03/2012 08/2023
James Ku San Jose CA 06/2018 03/2024
J.P. Morgan Securities Llc San Jose CA 03/2014 06/2017
Jpmorgan Chase Bank, N.A. Sunnyvale CA 03/2012 Present
  • 08/2023 → Present
    J.P. Morgan Securities Llc
    Sunnyvale, CA
  • 03/2012 → 08/2023
    Jpmorgan Chase Bank, N.A.
    Sunnyvale, CA
  • 06/2018 → 03/2024
    James Ku
    San Jose, CA
  • 03/2014 → 06/2017
    J.P. Morgan Securities Llc
    San Jose, CA
  • 03/2012 → Present
    Jpmorgan Chase Bank, N.A.
    Sunnyvale, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-13
S63 Uniform Securities Agent State Law Examination 2014-09-05
  • S66 Uniform Combined State Law Examination
    2023-11-13
  • S63 Uniform Securities Agent State Law Examination
    2014-09-05

View on SEC IAPD

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