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Stephen Wu

J.P. Morgan Securities LLC

San Francisco, 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 2025-12-11
TX RA APPROVED 2025-12-11
  • CA RA
    APPROVED
    Since 2025-12-11
  • TX RA
    APPROVED
    Since 2025-12-11

Branch Locations

One Front Street, San Francisco, CA 94111 • 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 San Francisco CA 09/2014 02/2018
Jpmorgan Chase Bank, N.A. San Francisco CA 09/2011 09/2021
Jpmorgan Chase Bank, N.A. San Francisco CA 07/2023 Present
J.P. Morgan Securities Llc San Francisco CA 11/2023 Present
First Republic Bank San Francisco CA 09/2021 07/2023
  • 09/2014 → 02/2018
    J.P. Morgan Securities Llc
    San Francisco, CA
  • 09/2011 → 09/2021
    Jpmorgan Chase Bank, N.A.
    San Francisco, CA
  • 07/2023 → Present
    Jpmorgan Chase Bank, N.A.
    San Francisco, CA
  • 11/2023 → Present
    J.P. Morgan Securities Llc
    San Francisco, CA
  • 09/2021 → 07/2023
    First Republic Bank
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-10
S63 Uniform Securities Agent State Law Examination 2014-11-05
  • S66 Uniform Combined State Law Examination
    2025-02-10
  • S63 Uniform Securities Agent State Law Examination
    2014-11-05

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
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VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
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