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Detailed Report
JIE LIU
JEFFREY JIE LIU, Jeffrey Liu
CRD#: 6431554
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 4820 IRVINE BLVD
IRVINE, CA 92620
Registration History
201520162017201820192020202120222023202420252026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2022 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2016 - Present (8 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2015 - 2016 (1 year)
License(s)

State Registrations

B
California 5/25/2016
B
New York 4/2/2023
IA
California 3/4/2022
B
Ohio 8/26/2024
B
Colorado 9/23/2024
B
Rhode Island 2/3/2025
B
Florida 4/2/2023
B
Tennessee 11/1/2023
B
Georgia 3/16/2023
B
Texas 4/2/2023
B
Hawaii 4/2/2023
IA
Texas 4/5/2023
B
Illinois 1/4/2024
B
Virginia 4/2/2023
B
Massachusetts 4/2/2023
B
Washington 4/2/2023
B
Nevada 4/2/2023

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)
4820 IRVINE BLVD, IRVINE, CA 92620
Registered with this firm since 3/4/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
4820 IRVINE BLVD, IRVINE, CA 92620
Registered with this firm since 5/25/2016
Previous Registration(s)
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B
 01/17/2015 - 04/12/2016 PRUCO SECURITIES, LLC. (CRD#:5685) ORANGE, 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.