Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
Zhen Liu
CRD#: 6327127
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2121 W Main St, Ste 400
ALHAMBRA, CA 91801
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2018 - 2020 (2 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2016 - 2018 (2 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2016 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2020 - 2020 (<1 year)
License(s)

State Registrations

B
California 9/30/2024
B
Texas 9/30/2024
IA
California 9/30/2024
IA
Texas 9/30/2024
B
North Carolina 9/30/2024

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)
2121 W Main St, Ste 400, ALHAMBRA, CA 91801
Registered with this firm since 9/30/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2121 W Main St, Ste 400, ALHAMBRA, CA 91801
Registered with this firm since 9/30/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/30/2020 - 08/01/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
B
 11/30/2020 - 08/01/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
IA
 07/17/2020 - 11/30/2020 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Irvine, CA
B
 09/12/2018 - 11/30/2020 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Irvine, CA
B
 07/18/2016 - 08/07/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) IRVINE, CA
B
 06/03/2014 - 09/23/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) ALHAMBRA, 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.