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Tingting Chen

J.P. Morgan Securities LLC

Boston, MA

Palo Alto, 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 2024-10-02
TX RA APPROVED 2024-10-02
  • CA RA
    APPROVED
    Since 2024-10-02
  • TX RA
    APPROVED
    Since 2024-10-02

Branch Locations

50 Rowes Wharf, Boston, MA 02110 • United States

3223 Hanover St Floor 01, Palo Alto, CA 94304 • 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
Hsbc Bank Usa, N.A. Cupertino CA 08/2016 02/2018
Hsbc Securities (Usa) Inc. Fremont CA 02/2018 03/2020
Ubs Financial Services Inc. San Francisco CA 03/2020 06/2023
Morgan Stanley San Mateo CA 06/2023 09/2024
J.P. Morgan Securities Llc Palo Alto CA 09/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-20
S63 Uniform Securities Agent State Law Examination 2014-10-06
  • S66 Uniform Combined State Law Examination
    2015-10-20
  • S63 Uniform Securities Agent State Law Examination
    2014-10-06
Other Names
  • Caroline Chen

View on SEC IAPD

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COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
WUXI HEALTHCARE VENTURES MANAGEMENT US LLC · BOSTON, MA
NEWPATH MANAGEMENT, L.P. · BOSTON, MA

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