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Detailed Report
Ping Sophie Yu
PING YU, SOPHIE YU
CRD#: 5609091
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 161 W SPRING CREEK PKWY
PLANO, TX 75023
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - Present (7 years)BSCOTTRADE, INC. (CRD# 8206)2014 - 2018 (3 years)BUSAA FINANCIAL ADVISORS, INC. (CRD# 129035)2014 - 2014 (<1 year)BTD AMERITRADE, INC. (CRD# 7870)2008 - 2014 (5 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2016 - 2018 (1 year)
Disclosure(s)
View By:
1/15/2025
Customer Dispute
Denied
License(s)

State Registrations

B
California 3/8/2021
B
South Carolina 5/5/2020
B
Georgia 2/26/2019
B
Texas 3/21/2018
B
Kansas 9/27/2018
IA
Texas 3/21/2018
B
Mississippi 8/27/2019
B
Virginia 5/15/2023
B
North Carolina 7/27/2018

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 National, Inc.
B
 NYSE Texas, 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)
161 W SPRING CREEK PKWY, PLANO, TX 75023
Registered with this firm since 3/21/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
161 W SPRING CREEK PKWY, PLANO, TX 75023
Registered with this firm since 3/21/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/27/2016 - 03/07/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 08/12/2014 - 03/07/2018 SCOTTRADE, INC. (CRD#:8206) PLANO, TX
B
 01/28/2014 - 03/27/2014 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) ADDISON, TX
B
 11/14/2008 - 01/21/2014 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, 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.