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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-07-24 |
| TX | RA | APPROVED | 2026-07-23 |
Branch Locations
150 W University Dr., Flr 04, Tempe , AZ 85281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Tempe | AZ | 07/2026 | Present |
| Jpmorgan Chase Bank, N.A. | Tempe | AZ | 07/2026 | Present |
| Cathay Securities, Inc. | New York City | NY | 09/2025 | 06/2026 |
| Cathy Securities Inc | New York City | NY | 05/2025 | 02/2026 |
| Unemployed | New York City | NY | 09/2024 | 04/2025 |
| China Merchants Securities | Beijing | 06/2024 | 08/2024 | |
| Unemployed | New York City | NY | 05/2024 | 05/2024 |
| Ascendex | New York City | NY | 01/2024 | 04/2024 |
| Unemployed | New York City | NY | 07/2016 | 12/2023 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 2026-06-18 |
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