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Detailed Report
JOANNIE HOA-THANH NGO
JOANNIE T NGO, JOANNIE HOA-THANH NGO
CRD#: 4323285
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2270 Huntington Dr
SAN MARINO, CA 91108
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2001 - 2008 (6 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2001 - 2001 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2008 (6 years)
License(s)

State Registrations

B
California 10/1/2012
B
Nevada 5/5/2016
IA
California 10/1/2012
B
New York 7/7/2014
B
Delaware 12/9/2019
B
Oregon 2/9/2016
B
Illinois 1/12/2017
B
Pennsylvania 12/19/2023
B
Kentucky 5/26/2016
B
Rhode Island 10/1/2012
B
Massachusetts 10/2/2024
B
Virginia 3/29/2017
B
Michigan 7/30/2020
B
Washington 10/1/2012

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)
2270 Huntington Dr, SAN MARINO, CA 91108
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2270 Huntington Dr, SAN MARINO, CA 91108
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/07/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN MARINO, CA
B
 12/07/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN MARINO, CA
IA
 01/28/2008 - 06/10/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 01/28/2008 - 06/10/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 01/16/2002 - 01/23/2008 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ROWLAND HEIGHTS, CA
B
 11/30/2001 - 01/23/2008 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ROWLAND HEIGHTS, CA
B
 02/12/2001 - 10/16/2001 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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.