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Detailed Report
Robert Peng
Robert Y Peng
CRD#: 6484275
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 14282 CULVER DR
IRVINE, CA 92604
Registration History
2015201620172018201920202021202220232024202520263 FIRMS2021 - 2021 (<1 year)2 FIRMS2022 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2015 - 2016 (<1 year)
License(s)

State Registrations

B
California 3/29/2022
B
New York 3/28/2024
IA
California 3/29/2022

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 National, Inc.
B
 NYSE Texas, 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)
14282 CULVER DR, IRVINE, CA 92604
Registered with this firm since 3/29/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
14282 CULVER DR, IRVINE, CA 92604
Registered with this firm since 3/29/2022
Previous Registration(s)
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IA
 08/28/2021 - 11/10/2021 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) LOS ANGELES, CA
B
 07/08/2021 - 11/10/2021 PRUCO SECURITIES, LLC. (CRD#:5685) LOS ANGELES, CA
B
 02/01/2021 - 06/24/2021 NYLIFE SECURITIES LLC (CRD#:5167) San Dimas, CA
B
 05/27/2015 - 01/13/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, 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.