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Detailed Report
James Chao
JAMES CHUNG-YUAN CHAO
CRD#: 6702786
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 100 N Tampa St
Floor 33
Tampa, FL 33602
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2022 (5 years)2 FIRMS2023 - Present (1 year)IABRIGHTON JONES LLC (CRD# 108601)2022 - 2023 (1 year)
License(s)

State Registrations

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Alabama 11/20/2023
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Nebraska 11/20/2023
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Alaska 11/20/2023
B
Nevada 11/20/2023
B
Arizona 11/20/2023
B
New Hampshire 11/20/2023
B
Arkansas 11/20/2023
B
New Jersey 11/20/2023
B
California 11/20/2023
B
New Mexico 11/20/2023
B
Colorado 11/20/2023
B
New York 11/20/2023
B
Connecticut 11/20/2023
B
North Carolina 11/20/2023
B
Delaware 11/20/2023
B
North Dakota 11/20/2023
B
District of Columbia 11/20/2023
B
Ohio 11/20/2023
B
Florida 11/20/2023
B
Oklahoma 11/20/2023
IA
Florida 11/20/2023
B
Oregon 11/20/2023
B
Georgia 11/20/2023
B
Pennsylvania 11/20/2023
B
Hawaii 11/20/2023
B
Puerto Rico 11/20/2023
B
Idaho 11/20/2023
B
Rhode Island 11/20/2023
B
Illinois 11/20/2023
B
South Carolina 11/20/2023
B
Indiana 11/20/2023
B
South Dakota 11/20/2023
B
Iowa 11/20/2023
B
Tennessee 11/20/2023
B
Kansas 11/20/2023
IA
Texas 11/16/2023
B
Kentucky 11/20/2023
B
Texas 11/20/2023
B
Louisiana 11/20/2023
B
Utah 11/20/2023
B
Maine 11/20/2023
B
Vermont 11/20/2023
B
Maryland 11/20/2023
B
Virgin Islands 11/20/2023
B
Massachusetts 11/20/2023
B
Virginia 11/20/2023
B
Michigan 11/20/2023
B
Washington 11/20/2023
B
Minnesota 11/20/2023
B
West Virginia 11/20/2023
B
Mississippi 11/20/2023
B
Wisconsin 11/20/2023
B
Missouri 11/20/2023
B
Wyoming 11/20/2023
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Montana 11/20/2023

SRO Registrations

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 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)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
100 N Tampa St Floor 33, Tampa, FL 33602
Tampa, FL
Registered with this firm since 11/20/2023
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 N Tampa St Floor 33, Tampa, FL 33602
Tampa, FL
Registered with this firm since 11/16/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
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 08/18/2022 - 10/09/2023 BRIGHTON JONES LLC (CRD#:108601) Tampa, FL
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 10/18/2017 - 04/20/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Boca Raton, FL
B
 02/13/2017 - 04/20/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Boca Raton, FL
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.
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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.