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Toan B Au
TOAN BAN AU
CRD#: 4749137
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 100 S. VINCENT AVENUE
WEST COVINA, CA 91790
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BWAMU INVESTMENTS, INC. (CRD# 599)2004 - 2009 (4 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2008 - 2009 (<1 year)
Disclosure(s)
View By:
12/20/2016
Customer Dispute
Denied
License(s)

State Registrations

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Arizona 5/21/2013

B
Oregon 6/16/2020

B
California 10/1/2012

B
South Dakota 10/5/2023

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California 10/1/2012

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Tennessee 6/30/2021

B
Florida 6/22/2016

B
Texas 10/1/2012

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Idaho 10/15/2014

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Texas 9/20/2013

B
Illinois 6/7/2019

B
Virginia 9/5/2019

B
Nevada 10/1/2012

B
Wyoming 6/9/2021

SRO Registrations

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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

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Nasdaq Stock Market

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New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 S. VINCENT AVENUE, WEST COVINA, CA 91790
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 S. VINCENT AVENUE, WEST COVINA, CA 91790
Registered with this firm since 10/1/2012

Previous Registration(s)
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05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WEST COVINA, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WEST COVINA, CA
IA
07/01/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) UPLAND, CA
B
09/10/2004 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) UPLAND, 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.