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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-18
TX RA APPROVED 2024-03-18
  • CA RA
    APPROVED
    Since 2024-03-18
  • TX RA
    APPROVED
    Since 2024-03-18

Branch Locations

3 Park Plz Suite 700, Irvine, CA 92614 • 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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Irvine CA 09/2013 Present
Jpmorgan Chase Bank, N.A. Irvine CA 08/2013 Present
Previous Registrations
  • 2002-07-26 → 2015-12-31
    Highmark Capital Management, Inc.
    Seattle, WA
Other Businesses

Entity Name: Landowners Oil Association, Inc. Investment related: Yes "Address: 345 Riverview, Suite 520 Wichita, KS 67203" Nature of the other business: oil & gas royalty Interests "Position/Title/Relationship: President. Serve as President of inherited family owned S-corp which is owner of passive oil & gas royalty Interests. Start Date: 03/31/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: President Entity Name: LFM LLC Investment related: Yes "Address: 441 Saxony Rd. Encinitas, CA 92024" Nature of the other business: oil & gas royalty Interests "Position/Title/Relationship: Passive Owner. No responsibility/passive ownership no active role similar to my JPMC role" Start Date: 03/31/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours:0 Briefly describe your duties: Member Entity Name: LJP, Inc. Investment related: Yes Address: La Jolla, CA Nature of the other business: Family owned company with oil and gas mineral interests in KS, OK, TX Position/Title/Relationship: Officer Start Date: 01-Jan-2000 Approximate # of hours a month: 2 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: General oversight

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-03-18
S63 Uniform Securities Agent State Law Examination 2013-11-01
S66 Uniform Combined State Law Examination 2000-12-14
  • S65 Uniform Investment Adviser Law Examination
    2024-03-18
  • S63 Uniform Securities Agent State Law Examination
    2013-11-01
  • S66 Uniform Combined State Law Examination
    2000-12-14
Other Names
  • Charles Randolph Black

View on SEC IAPD

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