Katherine Suk-ka Yau
Investment adviser representative at J.P. Morgan Securities LLC
12 yearsExperience
2 statesRegistered in
$429.7BFirm assets
61 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
12 years in the industry.
- J.P. Morgan Securities LLCApr 2024 to now
- JPMorgan Securities LLCJun 2023 to now
- JPMorgan Chase Bank, NAApr 2022 to now
- BridgebioMay 2021 to Apr 2022
- UnemployedMar 2021 to Apr 2021
- CitigroupOct 2017 to Feb 2021
- Nomura Securities InternationalJul 2016 to Sep 2017
- NomuraSep 2014 to Sep 2017
- Dartmouth CollegeMay 2014 to Dec 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (NY, TX).
J.P. Morgan Securities LLC
$429.7BAssets managed
1,246,646Clients
14,320Advisers
61 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6404628
- Firm CRD
- 79