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David Ha

J.P. Morgan Securities LLC

Tustin, 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 2025-04-10
  • CA RA
    APPROVED
    Since 2025-04-10

Branch Locations

615 E. 1 St, Tustin, CA 92780 • 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
Northwestern Mutual Investment Services Llc Los Angeles CA 11/2017 08/2019
Matloff Garg Llc Los Angeles CA 11/2017 08/2019
Edward J Mehren Los Angeles CA 03/2016 11/2017
Jason Shapiro Woodland Hills CA 06/2019 08/2019
J.P. Morgan Securities Llc Tustin CA 11/2021 Present
Jpmorgan Chase Bank, N.A. Tustin CA 11/2021 Present
E 3 Insurance Solutions Inc Los Angeles CA 03/2016 11/2017
Unemployed Cerritos CA 09/2019 10/2021
  • 11/2017 → 08/2019
    Northwestern Mutual Investment Services Llc
    Los Angeles, CA
  • 11/2017 → 08/2019
    Matloff Garg Llc
    Los Angeles, CA
  • 03/2016 → 11/2017
    Edward J Mehren
    Los Angeles, CA
  • 06/2019 → 08/2019
    Jason Shapiro
    Woodland Hills, CA
  • 11/2021 → Present
    J.P. Morgan Securities Llc
    Tustin, CA
  • 11/2021 → Present
    Jpmorgan Chase Bank, N.A.
    Tustin, CA
  • 03/2016 → 11/2017
    E 3 Insurance Solutions Inc
    Los Angeles, CA
  • 09/2019 → 10/2021
    Unemployed
    Cerritos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-07
S63 Uniform Securities Agent State Law Examination 2022-03-01
  • S66 Uniform Combined State Law Examination
    2025-01-07
  • S63 Uniform Securities Agent State Law Examination
    2022-03-01
Other Names
  • David Ha
  • David Ha
  • David Jin Young Ha
  • David Jinyoung Ha

View on SEC IAPD

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Other Offices

RMR CAPITAL MANAGEMENT LLC · TUSTIN, CA
CROSSPOINT FINANCIAL, LLC · TUSTIN, CA
EQUITABLE ADVISORS, LLC · TUSTIN, CA
KFICO, LLC REGISTERED INVESTMENT ADVISOR · TUSTIN, CA
CAPITAL SYNERGY PARTNERS · IRVINE, CA
LPL FINANCIAL LLC · IRVINE, CA
PARK AVENUE SECURITIES LLC · IRVINE, CA
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · Irvine, CA

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