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Detailed Report
TONY LY
TONY MINH LY
CRD#: 5884593
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 270 S. STATE COLLEGE BLVD
BREA, CA 92821
Registration History
201220142016201820202022202420262 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (8 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2015 (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
License(s)

State Registrations

B
Arizona 7/5/2018
B
Illinois 11/28/2017
B
California 6/13/2016
B
North Carolina 6/25/2018
IA
California 6/13/2016
B
Texas 11/6/2018
B
Florida 5/23/2024
IA
Texas 11/14/2018
B
Idaho 4/25/2023
B
Washington 12/19/2018

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)
270 S. STATE COLLEGE BLVD, BREA, CA 92821
Registered with this firm since 6/13/2016
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
270 S. STATE COLLEGE BLVD, BREA, CA 92821
Registered with this firm since 6/13/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/03/2015 - 06/16/2016 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) CITY OF INDUSTRY, CA
B
 04/16/2015 - 06/16/2016 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) CITY OF INDUSTRY, CA
B
 10/01/2012 - 04/20/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) PASADENA, CA
B
 02/17/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
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.