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Vi P Le
VI PHUONG LE
CRD#: 4781612
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1300 W. IMPERIAL HWY.
LA HABRA, CA 90631
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BWAMU INVESTMENTS, INC. (CRD# 599)2004 - 2009 (5 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
Disclosure(s)
View By:
8/12/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/11/2017

B
New Jersey 3/3/2017

B
California 10/1/2012

B
Oregon 11/2/2012

IA
California 10/1/2012

B
Pennsylvania 2/13/2025

B
Georgia 3/17/2016

B
Tennessee 3/2/2021

B
Illinois 10/23/2023

B
Texas 9/19/2014

B
Minnesota 6/13/2024

IA
Texas 9/23/2014

B
Nevada 5/21/2015

B
Utah 1/31/2018

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

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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)
1300 W. IMPERIAL HWY., LA HABRA, CA 90631
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1300 W. IMPERIAL HWY., LA HABRA, CA 90631
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/10/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LA HABRA, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LA HABRA, CA
B
05/28/2004 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) WEST COVINA, CA
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B
Broker
IA
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.