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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Charmaine Chow

Advisor at J.P. MORGAN SECURITIES LLC

ALHAMBRA, CA

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Search this name across graphsid dfx:ria:becc60c3-2526-d07e-4539-0aa1e805281d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jan 24, 2006
First registration: Nov 30, 2009
Dual registered: yes, broker-dealer
Other names: CHARMAINE CHOW|CHARMAINE W CHOW|CHARMAINE CHOW|CHARMAINE WAI MING CHOW
IAPD individual key: 5044078

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 2, 2015	n/a	yes	ALHAMBRA, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 16, 2012	Mar 13, 2015	no	HACIENDA HEIGHTS, CA\|NEW YORK, NY\|HACIENDA HEIGHTS, CA\|WEST COVINA, CA\|HACIENDA HEIGHTS, CA\|HACIENDA HEIGHTS, CA\|ROWLAND HEIGHTS, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Oct 27, 2011	Jan 25, 2012	no	ARCADIA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Aug 10, 2011	no	ALHAMBRA, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 30, 2009	Jan 3, 2011	no	MONTEREY PARK, CA\|ALHAMBRA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Mar 13, 2015	Mar 2, 2015	-11	Firm change	Wirehouse to wirehouse
U.S. BANCORP ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 25, 2012	Feb 16, 2012	22	Firm change	Other
WELLS FARGO ADVISORS	U.S. BANCORP ADVISORS, LLC	Aug 10, 2011	Oct 27, 2011	78	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:79:CA:2015-03-13	Mar 13, 2015	Mar 2, 2015	ROWLAND HEIGHTS, CA	Firm change

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Mar 2, 2015 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 16, 2012 to Mar 13, 2015factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 27, 2011 to Jan 25, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Aug 10, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 30, 2009 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.