Gom Tran

CRD 5094422 · J.P. Morgan Securities LLC · New York, NY

IA RegisteredBroker

Also appears in the source record as: Gom C Tran; Gom Chaun Tran; Gom Chuan Tran; Gom Tran

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (13): Alabama · California · Connecticut · Delaware · Florida · Georgia · Illinois · Massachusetts · New Jersey · New York · Pennsylvania · Texas · Vermont
Years in the industry (source record): 19
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 (12)

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
Hsbc Securities (USA) Inc.
New York, NY · IA capacity

Dec 12, 2013 → Jan 5, 2015
Hsbc Securities (USA) Inc.
New York, NY · BC capacity

Dec 12, 2013 → Jan 5, 2015
Santander Securities
Manhattan, NY · IA capacity

Sep 19, 2012 → Aug 22, 2013
Santander Securities LLC
Manhattan, NY · BC capacity

Sep 19, 2012 → Aug 22, 2013
Lpl Financial LLC
New York, NY · IA capacity

May 25, 2012 → Sep 19, 2012
Lpl Financial LLC
New York, NY · BC capacity

May 25, 2012 → Sep 19, 2012
Chase Investment Services Corp.
New York, NY · IA capacity

Jun 8, 2007 → May 11, 2012
Chase Investment Services Corp.
New York, NY · BC capacity

Jun 8, 2007 → May 11, 2012
Axa Advisors, LLC
Lake Success, NY · IA capacity

Jan 19, 2007 → Feb 26, 2007
Axa Advisors, LLC
Lake Success, NY · BC capacity

Oct 3, 2006 → Feb 26, 2007

Source & corrections

Where this page comes from

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