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Detailed Report
YUBI LI
CRD#: 6404001
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2100 El Camino Real
Palo Alto, CA 94306
Registration History
2014201520162017201820192020202120222023202420252026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2025 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2022 - 2023 (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2014 - 2022 (8 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2022 (6 years)
License(s)

State Registrations

B
Alabama 1/18/2024
B
Montana 9/29/2023
B
Alaska 1/18/2024
B
Nevada 9/29/2023
B
Arizona 9/29/2023
B
New Hampshire 1/18/2024
B
Arkansas 1/18/2024
B
New Jersey 9/29/2023
B
California 9/29/2023
B
New Mexico 9/29/2023
IA
California 1/9/2025
B
New York 9/29/2023
B
Colorado 9/29/2023
B
North Carolina 9/29/2023
B
Connecticut 9/29/2023
B
North Dakota 1/18/2024
B
Delaware 9/29/2023
B
Ohio 9/29/2023
B
District of Columbia 1/18/2024
B
Oklahoma 1/18/2024
B
Florida 9/29/2023
B
Oregon 9/29/2023
B
Georgia 9/29/2023
B
Pennsylvania 9/29/2023
B
Hawaii 9/29/2023
B
Puerto Rico 1/18/2024
B
Idaho 9/29/2023
B
Rhode Island 1/18/2024
B
Illinois 9/29/2023
B
South Carolina 9/29/2023
B
Indiana 1/18/2024
B
South Dakota 1/18/2024
B
Iowa 1/18/2024
B
Tennessee 1/18/2024
B
Kansas 1/18/2024
B
Texas 9/29/2023
B
Kentucky 1/18/2024
IA
Texas 1/9/2025
B
Louisiana 1/18/2024
B
Utah 9/29/2023
B
Maine 1/18/2024
B
Vermont 1/18/2024
B
Maryland 1/18/2024
B
Virgin Islands 1/18/2024
B
Massachusetts 9/29/2023
B
Virginia 9/29/2023
B
Michigan 9/29/2023
B
Washington 9/29/2023
B
Minnesota 9/29/2023
B
West Virginia 1/18/2024
B
Mississippi 1/18/2024
B
Wisconsin 9/29/2023
B
Missouri 9/29/2023
B
Wyoming 9/29/2023

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)
2100 El Camino Real, Palo Alto, CA 94306
Registered with this firm since 1/9/2025
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2100 El Camino Real, Palo Alto, CA 94306
Registered with this firm since 9/29/2023
Previous Registration(s)
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B
 11/11/2022 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) Palo Alto, CA
IA
 03/30/2016 - 11/17/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN JOSE, CA
B
 11/18/2014 - 11/17/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN JOSE, 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.