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
Tony Lan
TONY Chad LAN, Tony C Lan, Tony Chao-Wei Lan
CRD#: 6491981
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 20385 YORBA LINDA BLVD
YORBA LINDA, CA 92886
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - Present (3 years)BNYLIFE SECURITIES LLC (CRD# 5167)2019 - 2020 (1 year)BT3 TRADING GROUP, LLC (CRD# 154431)2017 - 2018 (1 year)BT3 TRADING GROUP, LLC (CRD# 154431)2015 - 2016 (<1 year)
License(s)

State Registrations

B
Arizona 11/21/2022
B
North Carolina 6/10/2024
B
California 10/18/2021
B
Texas 5/25/2022
IA
California 10/18/2021
IA
Texas 6/21/2022
B
Florida 8/23/2024
B
Washington 4/17/2023
B
Nevada 5/16/2023

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)
20385 YORBA LINDA BLVD, YORBA LINDA, CA 92886
Registered with this firm since 10/18/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
20385 YORBA LINDA BLVD, YORBA LINDA, CA 92886
Registered with this firm since 10/18/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2020 - 10/08/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) Brea, CA
B
 08/27/2020 - 10/08/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) Brea, CA
B
 02/25/2019 - 07/31/2020 NYLIFE SECURITIES LLC (CRD#:5167) GLENDALE, CA
B
 03/07/2017 - 10/10/2018 T3 TRADING GROUP, LLC (CRD#:154431) NEW YORK, NY
B
 09/30/2015 - 08/31/2016 T3 TRADING GROUP, LLC (CRD#:154431) NEW YORK, NY
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.