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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 2025-09-18
TX RA APPROVED 2025-09-18
  • CA RA
    APPROVED
    Since 2025-09-18
  • TX RA
    APPROVED
    Since 2025-09-18

Branch Locations

1888 Century Park E, Floor 5, Los Angeles, CA 90067 • 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
Jp Morgan Securities Llc Seattle WA 07/2019 09/2021
Jp Morgan Chase Bank Seattle WA 07/2019 09/2021
Northeastern University Boston MA 09/2015 09/2016
Northeastern University Disability Resource Center Boston MA 09/2016 12/2016
Pricewaterhousecoopers Boston MA 01/2017 05/2017
Northeastern University Boston MA 05/2017 06/2017
State Street Boston MA 06/2017 08/2017
Northeastern University Boston MA 08/2017 01/2018
Goldman Sachs Boston MA 01/2018 06/2018
Northeastern University Boston MA 07/2018 09/2018
Northeastern University Boston MA 09/2018 05/2019
Unemployed Temple City CA 05/2019 07/2019
Jpmorgan Chase Bank Na Los Angeles CA 09/2021 Present
Jpmorgan Securities Llc Los Angeles CA 09/2021 Present
  • 07/2019 → 09/2021
    Seattle, WA
  • 07/2019 → 09/2021
    Jp Morgan Chase Bank
    Seattle, WA
  • 09/2015 → 09/2016
    Northeastern University
    Boston, MA
  • 09/2016 → 12/2016
    Northeastern University Disability Resource Center
    Boston, MA
  • 01/2017 → 05/2017
    Pricewaterhousecoopers
    Boston, MA
  • 05/2017 → 06/2017
    Northeastern University
    Boston, MA
  • 06/2017 → 08/2017
    State Street
    Boston, MA
  • 08/2017 → 01/2018
    Northeastern University
    Boston, MA
  • 01/2018 → 06/2018
    Goldman Sachs
    Boston, MA
  • 07/2018 → 09/2018
    Northeastern University
    Boston, MA
  • 09/2018 → 05/2019
    Northeastern University
    Boston, MA
  • 05/2019 → 07/2019
    Unemployed
    Temple City, CA
  • 09/2021 → Present
    Jpmorgan Chase Bank Na
    Los Angeles, CA
  • 09/2021 → Present
    Jpmorgan Securities Llc
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-07-02
S63 Uniform Securities Agent State Law Examination 2019-09-30
  • S65 Uniform Investment Adviser Law Examination
    2025-07-02
  • S63 Uniform Securities Agent State Law Examination
    2019-09-30
Other Names
  • Kai Yin Li

View on SEC IAPD

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