Harpal S Sandhu

CRD 2456889 · J.P. Morgan Securities LLC · Diamond Bar, CA

IA RegisteredBroker

Also appears in the source record as: Harpal Singh Sandhu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 63
Registered states (25): Arizona · California · Colorado · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Louisiana · Maryland · Massachusetts · Montana · Nevada · New York · North Carolina · Oklahoma · Oregon · Pennsylvania · Tennessee · Texas · Utah · Washington · Wisconsin
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (11)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Diamond Bar, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Diamond Bar, CA · BC capacity

start not retrieved → present
Chase Investment Services Corp.
Diamond Bar, CA · IA capacity

Sep 24, 2009 → Oct 1, 2012
Chase Investment Services Corp.
Diamond Bar, CA · BC capacity

May 2, 2009 → Oct 1, 2012
Wamu Investments, Inc.
Diamond Bar, CA · IA capacity

Feb 23, 2006 → May 12, 2009
Wamu Investments, Inc.
Diamond Bar, CA · BC capacity

Sep 29, 1999 → May 2, 2009
Banc Of America Investment Services, Inc.
Riverside, CA · IA capacity

Oct 30, 2008 → Nov 6, 2008
Banc Of America Investment Services, Inc.
Riverside, CA · BC capacity

Oct 29, 2008 → Nov 6, 2008
Liberty Securities Corporation
Purchase, NY · BC capacity

Jul 15, 1997 → Sep 29, 1999
Great Western Financial Securities Corporation
Northridge, CA · BC capacity

Jul 19, 1994 → Jul 14, 1997
Thomas James Associates, Inc.
Rochester, NY · BC capacity

Mar 9, 1994 → Jul 12, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2456889 ↗ FINRA BrokerCheck record for CRD 2456889 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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