Jeffrey Yau

CRD 4008003 · J.P. Morgan Securities LLC · New York, NY

BrokerRegistration inactive

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Inactive
Exams passed (8): SIESeries 3Series 7Series 10Series 9Series 24Series 66Series 63
Registered states: Not yet retrieved from the source record
Years in the industry (source record): 20
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
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
Brooklyn, NY · IA capacity

Jun 29, 2018 → Dec 31, 2021
Ubs Financial Services Inc.
New York, NY · BC capacity

Aug 24, 2017 → Jul 20, 2018
Cetera Investment Advisers LLC
Pasadena, CA · IA capacity

Sep 18, 2015 → Dec 1, 2016
Cetera Investment Services LLC
Pasadena, CA · BC capacity

Sep 18, 2015 → Dec 1, 2016
Barclays Capital Inc.
San Francisco, CA · IA capacity

Mar 17, 2009 → Sep 17, 2015
Barclays Capital Inc.
San Francisco, CA · BC capacity

Sep 22, 2008 → Sep 17, 2015
Lehman Brothers Inc.
New York, NY · BC capacity

Apr 3, 2008 → Sep 22, 2008
Banc Of America Securities LLC
New York, NY · BC capacity

Jun 6, 2006 → Apr 9, 2008
Citigroup Global Markets Inc.
New York, NY · BC capacity

Feb 14, 2006 → Jun 8, 2006
Td Waterhouse Investor Services, Inc.
Omaha, NE · BC capacity

Jan 18, 2001 → Aug 24, 2001

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4008003 ↗ FINRA BrokerCheck record for CRD 4008003 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.