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Luc Droal

J.P. Morgan Securities LLC

New York, NY

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
TX RA APPROVED_RES 2016-06-15
NJ RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2016-06-15
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

988 8Th Avenue, New York, NY 10019 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New York NY 10/2012 Present
Jpmorgan Chase Bank, N.A. New York NY 12/1995 Present
Previous Registrations
  • 1997-10-16 → 2012-10-01
    Chase Investment Services Corp.
    New York, NY
    New York, NY
    New York City, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-25
S63 Uniform Securities Agent State Law Examination 1988-02-22
  • S65 Uniform Investment Adviser Law Examination
    1997-09-25
  • S63 Uniform Securities Agent State Law Examination
    1988-02-22

View on SEC IAPD

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