Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Au is a registered representative with J.p. Morgan Securities LLC. Alan has been in the securities industry since January 4, 2015. Alan is registered in 14 states. Prior to joining J.p. Morgan Securities LLC, Alan was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and INFINEX INVESTMENTS, INC..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
NY
11/27/2017 - Present
J.p. Morgan Securities LLC (BAYSIDE NY)
NY
02/02/2017 - 11/09/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BAYSIDE NY)
NY
07/01/2016 - 10/12/2016
INFINEX INVESTMENTS, INC. (BAYSIDE NY)
NY
09/01/2014 - 07/01/2016
ESSEX NATIONAL SECURITIES, LLC (AUBURNDALE NY)
BOTH
Issued 09/20/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2014
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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