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Maria M Smith

J.P. Morgan Securities LLC

Dublin, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-07-29
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2021-07-29
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

7600 Dublin Blvd, Dublin, CA 94568 • 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
Wm Financial Services Alameda CA 11/2000 Present
J.P. Morgan Securities Llc Danville CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Danville CA 10/2012 Present
  • 11/2000 → Present
    Wm Financial Services
    Alameda, CA
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Danville, CA
  • 10/2012 → Present
    Jpmorgan Chase Bank, N.A.
    Danville, CA
Previous Registrations
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Danville, CA
    San Ramon, CA
  • 2006-07-21 → 2009-05-02
    Wamu Investments, Inc.
    San Leandro, CA
    Danville, CA
    San Ramon, CA
    Portola Valley, CA
    Palo Alto, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-09
S63 Uniform Securities Agent State Law Examination 2001-01-16
  • S66 Uniform Combined State Law Examination
    2021-07-09
  • S63 Uniform Securities Agent State Law Examination
    2001-01-16
Designations
Other Names
  • Maria M. Harrington
  • Maria M. Smith

View on SEC IAPD

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Other Investors

DANIEL J QUINN
MASOUD RAHIMI
KAI LI
JUSTIN T SAAR
ARYIKA SINGH
TRICCIA MARIE BANA
DANIELLE L. PETTIETTE ERLINGER
ANDREW DE LA VEGA

Other Offices

STRATEGIC ADVISERS LLC · DUBLIN, CA
HARMONEY CAPITAL LLC · DUBLIN, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · DUBLIN, CA
J.P. MORGAN SECURITIES LLC · DUBLIN, CA
FINCOP FINANCIAL PLANNING · DUBLIN, CA
J.P. MORGAN SECURITIES LLC · Pleasanton, CA
ACUMAIN CAPITAL, LLC · PLEASANTON, CA
ALTA VIA CAPITAL · PLEASANTON, CA

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