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Detailed Report
Tuyet-Minh Ha Hoang
TUYET-MINH H HOANG, TUYET-MINH HA HOANG, TUYET-MINH HOANG, TUYETMINH HOANG
CRD#: 5247850
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 400 MASON ROAD SOUTH
KATY, TX 77450
Registration History
200620082010201220142016201820202022202420262 FIRMS2011 - 2018 (7 years)2 FIRMS2018 - Present (6 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2011 (1 year)BCCO INVESTMENT SERVICES CORP. (CRD# 39550)2008 - 2010 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2007 (<1 year)
License(s)

State Registrations

B
Florida 2/13/2024
B
Virginia 11/15/2021
B
Texas 10/12/2018
B
Wisconsin 6/23/2023
IA
Texas 10/12/2018

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

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)
400 MASON ROAD SOUTH, KATY, TX 77450
Registered with this firm since 10/12/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
400 MASON ROAD SOUTH, KATY, TX 77450
Registered with this firm since 10/12/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/07/2011 - 10/09/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
 05/24/2011 - 10/09/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
 12/17/2009 - 04/13/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
 04/30/2008 - 01/08/2010 CCO INVESTMENT SERVICES CORP. (CRD#:39550) ALLSTON, MA
B
 12/07/2006 - 08/02/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.