Diana Namkoong
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Diana Namkoong, who also goes by Diana H Namkoong, Diana Hei Yong Namkoong, Diana Hei Young Namkoong, Diana Heiyoung Namkoong, Diana Namkoong, Diana H Namroong, Dianna Namroong, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1996. Diana had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2014 - May 14, 2022
J.P. MORGAN SECURITIES LLC
August 22, 2014 - May 14, 2022
J.P. MORGAN SECURITIES LLC
February 8, 2012 - June 26, 2014
THE HUNTINGTON INVESTMENT COMPANY
January 31, 2012 - June 26, 2014
THE HUNTINGTON INVESTMENT COMPANY
April 20, 2011 - August 5, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 5, 2011 - August 5, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 1, 2009 - June 18, 2010
MORGAN STANLEY
June 1, 2009 - June 18, 2010
MORGAN STANLEY
November 20, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 16, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 11, 2005 - September 7, 2006
HSBC SECURITIES (USA) INC.
June 6, 2001 - September 26, 2005
CHASE INVESTMENT SERVICES CORP.
June 6, 2001 - September 26, 2005
CHASE INVESTMENT SERVICES CORP.
August 28, 1997 - June 15, 2001
MORGAN STANLEY DW INC.
April 4, 1997 - May 21, 1997
CONTINENTAL BROKER-DEALER CORP.
April 19, 1996 - March 27, 1997
AMERICORP SECURITIES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
