Alan Ling

CRD 4173740 · J.P. Morgan Securities LLC · New York, NY

Broker

Also appears in the source record as: Alan Yu-Ping Ling

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (8): Series 79TOSIESeries 7Series 10Series 24Series 9Series 4Series 66
Registered states: Not yet retrieved from the source record
Years in the industry (source record): 25
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 · BC capacity

start not retrieved → present
Morgan Stanley
Purchase, NY · BC capacity

Jun 1, 2009 → Jun 12, 2023
Citigroup Global Markets Inc.
New York, NY · BC capacity

Mar 15, 2006 → Jun 1, 2009
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

Oct 20, 2004 → Sep 16, 2005
Quick & Reilly, Inc.
New York, NY · BC capacity

Nov 21, 2000 → Oct 20, 2004
Ids Life Insurance Company
Minneapolis, MN · BC capacity

May 24, 2000 → Sep 1, 2000
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

May 24, 2000 → Sep 1, 2000

Source & corrections

Where this page comes from

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