• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Qui Hoa Hua
KEVIN HUA, QUI H HUA
CRD#: 4964063
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 300 LAS GALLINAS AVE
SAN RAFAEL, CA 94903
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2006 - 2006 (<1 year)
Disclosure(s)
View By:
8/29/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/2/2016

B
New Jersey 11/20/2013

B
California 10/1/2012

B
New York 10/1/2012

IA
California 10/1/2012

B
Oregon 10/1/2012

B
Delaware 3/30/2023

B
Texas 9/25/2015

B
District of Columbia 8/5/2019

IA
Texas 9/28/2015

B
Georgia 4/6/2015

B
Washington 10/1/2012

B
Nevada 5/6/2013

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)
300 LAS GALLINAS AVE, SAN RAFAEL, CA 94903
1535 TIBURON BLVD, TIBURON, CA 94920
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
300 LAS GALLINAS AVE, SAN RAFAEL, CA 94903
1535 TIBURON BLVD, TIBURON, CA 94920
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/19/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN RAFAEL, CA
B
08/19/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN RAFAEL, CA
IA
07/31/2007 - 08/21/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TORRANCE, CA
B
05/29/2007 - 08/21/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TORRANCE, CA
B
09/05/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) TORRANCE, CA
B
04/14/2006 - 06/12/2006 MORGAN STANLEY DW INC. (CRD#:7556) LONG BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
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.