Joannie Hoa-Thanh Ngo

CRD 4323285 · J.P. Morgan Securities LLC · San Marino, CA

IA RegisteredBroker

Also appears in the source record as: Joannie T Ngo; Joannie Hoa-Thanh Ngo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 6TOSIESeries 7Series 66
Registered states (15): California · Delaware · Illinois · Kentucky · Massachusetts · Michigan · Nevada · New York · Oregon · Pennsylvania · Rhode Island · Texas · Utah · Virginia · Washington
Years in the industry (source record): 24
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 (9)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
San Marino, CA · IA capacity

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

start not retrieved → present
Chase Investment Services Corp.
San Marino, CA · IA capacity

Dec 7, 2009 → Oct 1, 2012
Chase Investment Services Corp.
San Marino, CA · BC capacity

Dec 7, 2009 → Oct 1, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Pasadena, CA · IA capacity

Jan 28, 2008 → Jun 10, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Pasadena, CA · BC capacity

Jan 28, 2008 → Jun 10, 2009
Banc Of America Investment Services, Inc.
Rowland Heights, CA · IA capacity

Jan 16, 2002 → Jan 23, 2008
Banc Of America Investment Services, Inc.
Rowland Heights, CA · BC capacity

Nov 30, 2001 → Jan 23, 2008
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Feb 12, 2001 → Oct 16, 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 4323285 ↗ FINRA BrokerCheck record for CRD 4323285 ↗ 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.