Isaac Chan

CRD 3040785 · J.P. Morgan Securities LLC · Alhambra, CA

IA RegisteredBroker

Also appears in the source record as: Isaac Wing Hon Chan; Isaac Chan; Wai Pong Chan; Wai Chan; Isaac Wai Pong Chan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 52TOSIESeries 7Series 6Series 10Series 9Series 24Series 4Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3040785 contains one or more disclosure events as of Aug 20, 2026.

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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 (14)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Alhambra, CA · IA capacity

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

start not retrieved → present
Cetera Investment Advisers LLC
Monterey Park, CA · IA capacity

Apr 17, 2015 → Mar 7, 2022
Cetera Investment Services LLC
Monterey Park, CA · BC capacity

Apr 17, 2015 → Mar 7, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Pasadena, CA · IA capacity

Oct 23, 2009 → Apr 21, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Pasadena, CA · BC capacity

Oct 23, 2009 → Apr 21, 2015
Banc Of America Investment Services, Inc.
Alhambra, CA · IA capacity

Apr 13, 2006 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Alhambra, CA · BC capacity

Apr 13, 2006 → Oct 23, 2009
Citicorp Investment Services
Los Angeles, CA · IA capacity

Dec 1, 2003 → Apr 25, 2006
Citicorp Investment Services
Los Angeles, CA · BC capacity

Nov 26, 2003 → Apr 25, 2006
Wm Financial Services, Inc.
Irvine, CA · BC capacity

Sep 26, 2002 → Nov 24, 2003
Globalink Securities, Inc.
Pasadena, CA · BC capacity

Jul 25, 2000 → Oct 2, 2002
Pruco Securities Corporation
Newark, NJ · BC capacity

Mar 22, 1999 → Aug 9, 2000
Fortis Investors, Inc.
Oakdale, MN · BC capacity

Apr 21, 1998 → May 5, 1998

Source & corrections

Where this page comes from

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