Mike Lo

CRD 5086490 · J.P. Morgan Securities LLC · Temple City, CA

IA RegisteredBroker

Also appears in the source record as: Mark Lo; Mike Rong Hui Lo; Mike Lo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 7TOSIESeries 6Series 7Series 66Series 63Series 65
Registered states (13): Arizona · California · Georgia · Illinois · Kentucky · Louisiana · Missouri · Nevada · Oregon · Pennsylvania · Texas · Washington · Wyoming
Years in the industry (source record): 15
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 (8)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Temple City, CA · IA capacity

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

start not retrieved → present
Citigroup Global Markets Inc.
San Gabriel, CA · IA capacity

Aug 17, 2020 → Jun 14, 2021
Citigroup Global Markets Inc.
San Gabriel, CA · BC capacity

Mar 16, 2012 → Jun 14, 2021
Chase Investment Services Corp.
West Covina, CA · BC capacity

Aug 15, 2011 → Feb 2, 2012
Ameriprise Financial Services, Inc.
Bellevue, WA · IA capacity

Aug 14, 2006 → Mar 16, 2007
Ameriprise Financial Services, Inc.
Bellevue, WA · BC capacity

May 25, 2006 → Mar 16, 2007
Woodbury Financial Services, Inc.
Oakdale, MN · BC capacity

Jan 24, 2006 → Mar 29, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5086490 ↗ FINRA BrokerCheck record for CRD 5086490 ↗ 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.

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