Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Chao is a financial advisor with J.P. Morgan Securities LLC. James has been in the industry since July 18, 2017. James is registered as a Broker-Dealer and Investment Advisor in Florida and is also a Registered Investment Advisor in Texas. James holds the Series 7, Series 63, Series 66, and SIE licenses. James has experience with working with individual investors, corporations, charitable organizations, pension and profit-sharing plans, labor unions, and insurance companies. James provides portfolio management, financial planning, and selection of other advisors. Prior to joining J.P. Morgan Securities LLC, James worked at Charles Schwab & Co., Inc. and Brighton Jones.
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
FL
11/16/2023 - Present
J.p. Morgan Securities LLC (Tampa FL)
FL
02/13/2017 - 04/20/2022
CHARLES SCHWAB & CO., INC. (Boca Raton FL)
BOTH
Issued 10/17/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/23/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2017
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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