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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 2021-08-31
TX RA APPROVED_RES 2021-02-09
CT RA APPROVED 2016-07-20
  • NY RA
    APPROVED
    Since 2021-08-31
  • TX RA
    APPROVED_RES
    Since 2021-02-09
  • CT RA
    APPROVED
    Since 2016-07-20

Branch Locations

1975 Commerce St, Yorktown Heights, NY 10598 • 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 Yorktown Heights NY 06/2016 Present
Jpmorgan Chase Bank, N.A. Yorktown Heights NY 06/2016 Present
  • 06/2016 → Present
    Yorktown Heights, NY
  • 06/2016 → Present
    Jpmorgan Chase Bank, N.A.
    Yorktown Heights, NY
Previous Registrations
  • 2011-12-02 → 2016-06-15
    M&T Securities, Inc.
    Syracuse, NY
    New York, NY
    Ossining, NY
    Amenia, NY
    Millerton, NY
    Dover Plains, NY
    Fishkill, NY
    White Plains, NY
    Brewster, NY
    Mount Kisco, NY
    Somers, NY
    North Salem, NY
    Tarrytown, NY
    Pawling, NY
    White Plains, NY
    Tarrytown, NY
    Rye, NY
    Elmsford, NY
    Paramus, NJ
    Cheektowaga, NY
    Tarrytown, NY
    Wappingers Falls, NY
    Cold Spring, NY
    Lagrangeville, NY
    Fishkill, NY
    Hopewell Junction, NY
    Monsey, NY
    Village Of Montebello, NY
    Nyack, NY
    Piermont, NY
    New City, NY
    Wesley Hills, NY
    Chestnut Ridge, NY
    Ossining, NY
    Mount Kisco, NY
    Elmsford, NY
    Somers, NY
    Tarrytown, NY
    Cold Spring, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-27
S65 Uniform Investment Adviser Law Examination 2006-09-20
S63 Uniform Securities Agent State Law Examination 1988-08-31
  • S66 Uniform Combined State Law Examination
    2021-08-27
  • S65 Uniform Investment Adviser Law Examination
    2006-09-20
  • S63 Uniform Securities Agent State Law Examination
    1988-08-31
Other Names
  • John Michael Dacey

View on SEC IAPD

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