• 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.
ANDY JUNNWOEI LIU
CRD#: 5447100
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 39395 PASEO PADRE PKWY
FREMONT, CA 94538
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (<1 year)
Disclosure(s)
View By:
6/15/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/1/2012

B
Massachusetts 3/16/2020

B
California 10/1/2012

B
Nevada 1/29/2015

IA
California 10/1/2012

B
New York 7/9/2024

B
Colorado 10/1/2012

B
Oklahoma 11/13/2018

B
Florida 7/9/2024

B
Oregon 12/20/2022

B
Hawaii 7/9/2014

B
Texas 10/1/2012

B
Idaho 7/9/2024

IA
Texas 9/24/2013

B
Illinois 7/9/2024

B
Virginia 5/22/2018

B
Maryland 6/20/2023

B
Washington 7/9/2024

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)
39395 PASEO PADRE PKWY, FREMONT, CA 94538
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
39395 PASEO PADRE PKWY, FREMONT, CA 94538
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/12/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FREMONT, CA
B
06/12/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FREMONT, CA
IA
01/07/2009 - 05/21/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
B
01/05/2009 - 05/21/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
IA
02/25/2008 - 01/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CUPERTINO, CA
B
12/18/2007 - 01/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CUPERTINO, 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.