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HABIB NGOM
CRD#: 3025789
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 560 MISSION STREET
24TH FLOOR
SAN FRANCISCO, CA 94105
Registration History
20002002200420062008201020122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - Present (7 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2003 - Present (21 years)BOPPENHEIMER & CO. INC. (CRD# 249)2003 - 2003 (<1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)2001 - 2003 (1 year)BROBERTSON STEPHENS, INC. (CRD# 41271)2001 - 2001 (<1 year)
License(s)

State Registrations

B
Alabama 1/11/2013

B
Nebraska 7/29/2008

B
Alaska 1/11/2013

B
Nevada 4/28/2010

B
Arizona 5/17/2006

B
New Hampshire 5/17/2006

B
Arkansas 1/11/2013

B
New Jersey 5/17/2006

B
California 9/29/2003

B
New Mexico 1/11/2013

IA
California 7/24/2017

B
New York 5/17/2006

B
Colorado 4/21/2009

B
North Carolina 11/5/2007

B
Connecticut 5/17/2006

B
North Dakota 1/11/2013

B
Delaware 1/11/2013

B
Ohio 11/5/2007

B
District of Columbia 1/11/2013

B
Oklahoma 1/18/2007

B
Florida 5/17/2006

B
Oregon 11/5/2007

B
Georgia 5/17/2006

B
Pennsylvania 5/10/2011

B
Hawaii 11/5/2007

B
Puerto Rico 1/11/2013

B
Idaho 1/11/2013

B
Rhode Island 1/11/2013

B
Illinois 5/17/2006

B
South Carolina 11/5/2007

B
Indiana 1/11/2013

B
South Dakota 1/11/2013

B
Iowa 6/15/2007

B
Tennessee 1/11/2013

B
Kansas 1/11/2013

B
Texas 5/17/2006

B
Kentucky 1/11/2013

IA
Texas 5/17/2022

B
Louisiana 4/28/2010

B
Utah 9/21/2012

B
Maine 11/5/2007

B
Vermont 1/11/2013

B
Maryland 5/17/2006

B
Virgin Islands 1/11/2013

B
Massachusetts 5/17/2006

B
Virginia 5/17/2006

B
Michigan 4/28/2010

B
Washington 7/28/2006

B
Minnesota 1/11/2013

B
West Virginia 1/11/2013

B
Mississippi 1/11/2013

B
Wisconsin 1/11/2013

B
Missouri 1/11/2013

B
Wyoming 1/11/2013

B
Montana 1/11/2013

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
560 MISSION STREET 24TH FLOOR, SAN FRANCISCO, CA 94105
Oakland, CA
Registered with this firm since 7/24/2017

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
560 MISSION STREET 24TH FLOOR, SAN FRANCISCO, CA 94105
Oakland, CA
Registered with this firm since 9/29/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/03/2003 - 09/29/2003 OPPENHEIMER & CO. INC. (CRD#:249) NEW YORK, NY
B
03/21/2001 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
01/01/2001 - 03/14/2001 ROBERTSON STEPHENS, INC. (CRD#:41271) SAN FRANCISCO, CA
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.