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Tony Liang
TONY YAN LIANG
CRD#: 4466624
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J.P. MORGAN SECURITIES LLCCRD#: 79 401 E. VALLEY BLVD.
ALHAMBRA, CA 91801
ALHAMBRA, CA 91801
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Disclosures
23
Years of Experience
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State Registrations
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Alaska 10/3/2022
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New Mexico 7/22/2014
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Arizona 6/18/2015
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North Carolina 2/16/2022
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Arkansas 2/22/2019
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Ohio 2/8/2017
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California 11/4/2013
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Oregon 6/24/2014
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California 11/4/2013
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Pennsylvania 5/22/2014
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Illinois 5/7/2014
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South Carolina 2/16/2022
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Indiana 9/21/2021
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Texas 11/6/2017
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Massachusetts 5/19/2023
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Texas 11/17/2017
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Michigan 12/14/2015
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Virginia 4/26/2016
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Nevada 5/7/2014
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Washington 3/14/2022
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New Jersey 12/24/2015
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Wisconsin 2/25/2021
SRO Registrations
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Registered with this firm since 11/4/2013
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Registered with this firm since 11/4/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/17/2010 - 11/01/2013 | ARCADIA, CA | |
B | 05/13/2010 - 11/01/2013 | ARCADIA, CA | |
IA | 05/02/2009 - 05/10/2010 | EL MONTE, CA | |
B | 05/02/2009 - 05/10/2010 | EL MONTE, CA | |
IA | 04/28/2004 - 05/02/2009 | EL MONTE, CA | |
B | 04/28/2004 - 05/02/2009 | EL MONTE, CA | |
IA | 12/03/2001 - 04/29/2004 | LOS ANGELES, CA | |
B | 11/23/2001 - 04/29/2004 | MINNEAPOLIS, MN | |
B | 11/23/2001 - 04/29/2004 | MINNEAPOLIS, MN |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.