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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Henry Pak

Advisor at J.P. MORGAN SECURITIES LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:d7cc62e1-5bd5-e05a-23fc-69a0136dcfd1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2017 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: Jul 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Nov 15, 2011
First registration: Mar 8, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 5697943

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	Jun 14, 2021	n/a	yes	NEW YORK, NY	Current employment
SANTANDER SECURITIES	Bd affiliated wealth	Mar 23, 2020	Mar 30, 2021	no	New York, NY\|Scotch Plains, NJ\|Scotch Plains, NJ\|Scotch Plains, NJ\|New York, NY\|Scotch Plains, NJ\|New York, NY\|New York, NY\|New York, NY\|New York, NY\|New York, NY\|New York, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	May 29, 2019	no	NEW YORK, NY\|MANHATTAN, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	May 29, 2019	no	New York, NY	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Mar 8, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	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
SANTANDER SECURITIES	J.P. MORGAN SECURITIES LLC	Mar 30, 2021	Jun 14, 2021	76	Firm change	Ibd to wirehouse
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 29, 2019	Feb 27, 2018	-456	Channel change	Other
TD AMERITRADE, INC.	SANTANDER SECURITIES	May 29, 2019	Mar 23, 2020	299	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Jun 14, 2021 to presentfactForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Mar 23, 2020 to Mar 30, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to May 29, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to May 29, 2019factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Mar 8, 2017 to Feb 26, 2018factForm ADV

Dated events

No dated event names this entity yet.