Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Jacqueline Au is a registered representative with J.p. Morgan Securities LLC. Amy has been in the securities industry since 1998. Amy is licensed to provide securities and investment advice in Texas. Amy holds Series 7, 9, 63, and 66 licenses. Prior to joining J.p. Morgan Securities LLC, Amy worked at a number of other firms including, ScotTrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., E*TRADE Securities LLC, UnionBanc Investment Services, LLC, Fidelity Brokerage Services LLC and Wells Fargo Investments, LLC.
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
1
2
TX
06/04/2018 - Present
J.p. Morgan Securities LLC (Plano TX)
TX
08/24/2010 - 03/09/2018
SCOTTRADE, INC. (ALLEN TX)
TX
10/23/2009 - 08/09/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
11/26/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
CA
08/18/2006 - 11/21/2007
E*TRADE SECURITIES LLC (ALHAMBRA CA)
CA
01/24/2006 - 08/07/2006
UNIONBANC INVESTMENT SERVICES, LLC (GLENDALE CA)
RI
02/04/2004 - 01/25/2006
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
CA
08/14/2003 - 01/12/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
RI
08/14/1998 - 10/30/2002
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 04/16/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/02/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1998
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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