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Detailed Report
Jae E Lee
JAE EU LEE JR
CRD#: 4309345
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 6400 PLATT AVE
WEST HILLS, CA 91307
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BCOUNTRYWIDE INVESTMENT SERVICE... (CRD# 103919)2005 - 2008 (2 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2004 - 2005 (1 year)IACOUNTRYWIDE INVESTMENT SERVICE... (CRD# 103919)2007 - 2008 (1 year)
Disclosure(s)
View By:
1/23/2012
Customer Dispute
Closed-No Action
4/11/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/1/2012
B
New Jersey 3/25/2016
B
Arkansas 9/8/2022
B
New York 6/4/2015
B
California 10/1/2012
B
Ohio 5/8/2019
IA
California 10/1/2012
B
Oklahoma 11/23/2020
B
Colorado 8/29/2018
B
Oregon 8/23/2018
B
Florida 3/11/2016
B
Tennessee 12/10/2024
B
Hawaii 2/8/2017
B
Texas 9/12/2014
B
Idaho 1/27/2022
IA
Texas 9/15/2014
B
Maryland 6/1/2015
B
Utah 3/28/2023
B
Massachusetts 3/19/2021
B
Virginia 5/24/2013
B
Michigan 6/19/2018
B
Washington 10/1/2012
B
Nevada 10/1/2012
B
Wisconsin 4/24/2019

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 National, Inc.
B
 NYSE Texas, 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)
6400 PLATT AVE, WEST HILLS, CA 91307
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
6400 PLATT AVE, WEST HILLS, CA 91307
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WEST HILLS, CA
B
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WEST HILLS, CA
IA
 09/22/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) CAMARILLO, CA
B
 09/08/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) CAMARILLO, CA
IA
 07/23/2007 - 09/04/2008 COUNTRYWIDE INVESTMENT SERVICES, INC. (CRD#:103919) ENCINO, CA
B
 10/07/2005 - 09/04/2008 COUNTRYWIDE INVESTMENT SERVICES, INC. (CRD#:103919) ENCINO, CA
B
 09/13/2004 - 10/04/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.