Vivian Loy

CRD 4130984 · J.P. Morgan Securities LLC · New York, NY

IA RegisteredBroker

Also appears in the source record as: Vivian L Hui; Vivian Hul; Vivian Hui Loy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 7TOSIESeries 7Series 66
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): 8
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 (7)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Private Wealth Advisors LLC
New York, NY · IA capacity

Mar 21, 2022 → Mar 19, 2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Oct 15, 2012 → Jan 27, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New Milford, NJ · IA capacity

Oct 4, 2012 → Jan 27, 2015
Morgan Stanley Smith Barney LLC
New York, NY · IA capacity

Sep 20, 2010 → May 29, 2012
Morgan Stanley Smith Barney
New York, NY · BC capacity

Apr 22, 2010 → May 29, 2012

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4130984 ↗ FINRA BrokerCheck record for CRD 4130984 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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