Nicholas Thompson

J.P. Morgan Securities LLC

Claim This Profile

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2025-11-20
NY	RA	APPROVED	2023-06-02
TX	RA	APPROVED	2023-06-02

CT RA
APPROVED

Since 2025-11-20
NY RA
APPROVED

Since 2023-06-02
TX RA
APPROVED

Since 2023-06-02

Branch Locations

100 W Putnam Ave Floor 04, Greenwich, CT 06830 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	Purchase	NY	06/2009	05/2022
Morgan Stanley & Co. Llc	Purchase	NY	09/2016	05/2022
Ms Capital Group Inc.	New York	NY	04/2019	05/2022
Jpmorgan Chase Bank Na	New York	NY	05/2022	Present
Jpmorgan Securities Llc	New York	NY	05/2022	Present

06/2009 → 05/2022

Morgan Stanley

Purchase, NY
09/2016 → 05/2022

Morgan Stanley & Co. Llc

Purchase, NY
04/2019 → 05/2022

Ms Capital Group Inc.

New York, NY
05/2022 → Present

Jpmorgan Chase Bank Na

New York, NY
05/2022 → Present

Jpmorgan Securities Llc

New York, NY

Previous Registrations

2020-05-18 → 2022-05-23

Morgan Stanley

New York, NY

Purchase, NY
2010-05-20 → 2019-04-29

Morgan Stanley

Purchase, NY

Purchase, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-08-07
S63	Uniform Securities Agent State Law Examination	2004-09-22

S65 Uniform Investment Adviser Law Examination

2023-08-07
S63 Uniform Securities Agent State Law Examination

2004-09-22

Other Names

Nicholas Frank Thompson
Nicholas Thompson
Nicholas F Thompson

View on SEC IAPD

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