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Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-09-18
  • TX RA
    APPROVED
    Since 2023-09-18

Branch Locations

1600 E. Pioneer Parkway, Arlington, TX 76010 • United States

1010 W. Euless Boulevard, Euless, TX 76040 • United States

2535 E Arkansas Ln, Ste 301, Arlington, TX 76010 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wichita KS 04/2017 09/2023
Bank Of America, N.A. Wichita KS 04/2017 09/2023
Costco Wholesale Wichita KS 03/2016 07/2017
Intrust Bank Wichita KS 10/2016 04/2017
J.P. Morgan Securities Llc Euless TX 09/2023 Present
Jpmorgan Chase Bank, N.A. Euless TX 09/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-10
  • S66 Uniform Combined State Law Examination
    2022-06-10
Other Names
  • Ly Thi Khanh Nguyen
  • Ly Nguyen
  • Ly T Nguyen
  • Ly Thi Nguyen

View on SEC IAPD

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