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Detailed Report
ALLEN TSAY
CRD#: 6201338
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 860 E. COLORADO BLVD.
PASADENA, CA 91101
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 12/14/2016
B
Mississippi 12/14/2016
B
Alaska 12/14/2016
B
Missouri 6/9/2017
B
Arizona 12/19/2016
B
Nevada 12/14/2016
B
Arkansas 2/17/2022
B
New Jersey 3/23/2020
B
California 12/1/2016
B
New York 12/14/2016
IA
California 12/1/2016
B
North Carolina 12/15/2016
B
Colorado 12/14/2016
B
Oregon 12/14/2016
B
Connecticut 3/2/2023
B
Pennsylvania 7/5/2019
B
Florida 12/14/2016
B
Texas 12/14/2016
B
Georgia 8/9/2017
IA
Texas 12/22/2016
B
Idaho 12/5/2024
B
Utah 12/14/2016
B
Illinois 12/14/2016
B
Virginia 12/14/2016
B
Indiana 12/14/2016
B
Washington 12/14/2016

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)
860 E. COLORADO BLVD., PASADENA, CA 91101
Registered with this firm since 12/1/2016
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
860 E. COLORADO BLVD., PASADENA, CA 91101
Registered with this firm since 12/1/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/28/2013 - 11/09/2016 WADDELL & REED (CRD#:866) BREA, CA
B
 08/21/2013 - 11/09/2016 WADDELL & REED (CRD#:866) BREA, 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.