Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony Ly is an investment advisor representative with J.p. Morgan Securities LLC. Tony has been in the financial industry since 2011 and is licensed in several states including California, Texas, and Arizona. Tony is a registered representative and investment advisor representative in California and a resident investment advisor representative in Texas. Tony has experience working for UNIONBANC INVESTMENT SERVICES, LLC, and Chase Investment Services Corp. Tony has passed the Uniform Investment Adviser Law Examination, Uniform Securities Agent State Law Examination, General Securities Representative Examination, Investment Company Products/Variable Contracts Representative Examination, and the Securities Industry Essentials Examination. Tony's professional experience is primarily focused on providing financial advice to individuals, corporations, high-net-worth individuals, and pension and profit-sharing plans.
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
CA
11/14/2018 - Present
J.p. Morgan Securities LLC (BREA CA)
CA
04/16/2015 - 06/16/2016
UNIONBANC INVESTMENT SERVICES, LLC (CITY OF INDUSTRY CA)
CA
10/01/2012 - 04/20/2015
J.P. MORGAN SECURITIES LLC (PASADENA CA)
CA
02/17/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (PASADENA CA)
IA
Issued 08/03/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2015
Series 7 - General Securities Representative Examination
BC
Issued 02/16/2011
Series 6 - Investment Company Products/Variable Contracts 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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