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ANNIE HA
CRD#: 5041080
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 301 CLEMENT STREET
SAN FRANCISCO, CA 94118
SAN FRANCISCO, CA 94118
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Disclosures
19
Years of Experience
View By:
State Registrations
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Arizona 7/7/2021
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Nevada 9/9/2024
B
California 6/9/2021
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New Jersey 9/9/2024
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California 6/9/2021
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New York 6/28/2021
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Colorado 9/27/2021
B
Oregon 6/16/2022
B
Florida 2/16/2022
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Pennsylvania 6/22/2023
B
Hawaii 2/16/2022
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Texas 6/26/2021
B
Illinois 2/16/2022
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Texas 7/29/2021
B
Indiana 3/8/2024
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Washington 6/22/2023
B
Massachusetts 12/19/2024
SRO Registrations
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IA
Registered with this firm since 6/9/2021
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Registered with this firm since 6/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/17/2020 - 06/09/2021 | SAN MATEO, CA | |
B | 12/04/2018 - 06/09/2021 | SAN MATEO, CA | |
B | 10/01/2012 - 12/12/2018 | SAN FRANCISCO, CA | |
B | 05/20/2009 - 10/01/2012 | SAN FRANCISCO, CA | |
B | 11/02/2005 - 05/20/2009 | SAN FRANCISCO, CA |
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B
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.
IA
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.