Individual Firm
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JODI LE-NGUYEN
JODI LE, JODY LE, NGAN THUY LE
CRD#: 4499056
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J.P. MORGAN SECURITIES LLCCRD#: 79 6220 ST. HWY. 6
MISSOURI CITY, TX 77459
MISSOURI CITY, TX 77459
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Disclosures
16
Years of Experience
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State Registrations
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Arizona 8/17/2022
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Texas 5/24/2017
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California 12/10/2024
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Texas 11/6/2020
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Pennsylvania 8/25/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 11/6/2020
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Registered with this firm since 5/12/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/02/2015 - 03/26/2015 | HOUSTON, TX | |
B | 11/29/2012 - 01/02/2015 | HOUSTON, TX | |
B | 05/02/2009 - 01/06/2011 | HOUSTON, TX | |
B | 10/30/2008 - 05/02/2009 | HOUSTON, TX | |
B | 03/28/2006 - 11/20/2007 | HOUSTON, TX | |
B | 04/23/2002 - 10/12/2004 | DULUTH, GA |
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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.