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Detailed Report
Tingting Chen
Caroline Chen
CRD#: 6360826
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 3223 Hanover St
Floor 01
Palo Alto, CA 94304
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2014 - 2020 (5 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2015 - 2020 (4 years)
License(s)

State Registrations

B
Alabama 10/2/2024
B
Nebraska 10/2/2024
B
Alaska 10/2/2024
B
Nevada 10/2/2024
B
Arizona 10/2/2024
B
New Hampshire 10/2/2024
B
Arkansas 10/2/2024
B
New Jersey 10/2/2024
B
California 10/2/2024
B
New Mexico 10/2/2024
IA
California 10/2/2024
B
New York 10/2/2024
B
Colorado 10/2/2024
B
North Carolina 10/2/2024
B
Connecticut 10/2/2024
B
North Dakota 10/2/2024
B
Delaware 10/2/2024
B
Ohio 10/2/2024
B
District of Columbia 10/2/2024
B
Oklahoma 10/2/2024
B
Florida 10/2/2024
B
Oregon 10/2/2024
B
Georgia 10/2/2024
B
Pennsylvania 10/2/2024
B
Hawaii 10/2/2024
B
Puerto Rico 10/2/2024
B
Idaho 10/2/2024
B
Rhode Island 10/2/2024
B
Illinois 10/2/2024
B
South Carolina 10/2/2024
B
Indiana 10/2/2024
B
South Dakota 10/2/2024
B
Iowa 10/2/2024
B
Tennessee 10/2/2024
B
Kansas 10/2/2024
B
Texas 10/2/2024
B
Kentucky 10/2/2024
IA
Texas 10/2/2024
B
Louisiana 10/2/2024
B
Utah 10/2/2024
B
Maine 10/2/2024
B
Vermont 10/2/2024
B
Maryland 10/2/2024
B
Virgin Islands 10/2/2024
B
Massachusetts 10/2/2024
B
Virginia 10/2/2024
B
Michigan 10/2/2024
B
Washington 10/2/2024
B
Minnesota 10/2/2024
B
West Virginia 10/2/2024
B
Mississippi 10/2/2024
B
Wisconsin 10/2/2024
B
Missouri 10/2/2024
B
Wyoming 10/2/2024
B
Montana 10/2/2024

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)
3223 Hanover St Floor 01, Palo Alto, CA 94304
Registered with this firm since 10/2/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
3223 Hanover St Floor 01, Palo Alto, CA 94304
Registered with this firm since 10/2/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/04/2023 - 09/20/2024 MORGAN STANLEY (CRD#:149777) San Mateo, CA
B
 07/04/2023 - 09/20/2024 MORGAN STANLEY (CRD#:149777) San Mateo, CA
IA
 03/26/2020 - 06/15/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 03/24/2020 - 06/15/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
IA
 10/20/2015 - 03/16/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) Fremont, CA
B
 08/20/2014 - 03/16/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) CUPERTINO, 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.