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Michael Joseph Brown

J.P. Morgan Securities LLC

La Quinta, 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 2022-07-11
CA RA APPROVED 2022-07-08
  • TX RA
    APPROVED_RES
    Since 2022-07-11
  • CA RA
    APPROVED
    Since 2022-07-08

Branch Locations

78805 Hwy 111, La Quinta, CA 92253 • 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
Bank Of America, N.A. Indian Wells CA 01/1996 06/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indian Wells CA 10/2009 06/2022
J.P. Morgan Securities Llc La Quinta CA 07/2022 Present
Jpmorgan Chase Bank, N.A. La Quinta CA 07/2022 Present
Previous Registrations
  • 2018-02-12 → 2022-07-09
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Irvine, CA
    Scottsdale, AZ
    Rancho Mirage, CA
    Palm Desert, CA
    Indian Wells, CA
    Charlotte, NC
    Rancho Mirage, CA
    Pasadena, CA
    Newport Beach, CA
    Pasadena, CA
    Laguna Niguel, CA
    Beverly Hills, CA
    New York, NY
    La Quinta, CA
    Palm Springs, CA
    Riverside, CA
    Palm Desert, CA
    Palm Desert, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-02
S63 Uniform Securities Agent State Law Examination 2001-07-23
  • S65 Uniform Investment Adviser Law Examination
    2018-03-02
  • S63 Uniform Securities Agent State Law Examination
    2001-07-23

View on SEC IAPD

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Other Investors

John M Polovick
Eduardo Gonzalez Perez
MIGUEL MELERO
JOHN FREDERICK SLOOP
EDWARD RICHARD WOOLERY
Michael Joseph Boden
ROBERT JOSEPH BINKELE
JOHN B BALMER

Other Offices

U.S. BANCORP ADVISORS, LLC · La Quinta, CA
WELLS FARGO CLEARING SERVICES, LLC · LA QUINTA, CA
DST WEALTH MANAGEMENT LLC · INDIAN WELLS, CA
INDEPENDENT ADVISOR ALLIANCE, LLC · La Quinta, CA
NWF ADVISORY SERVICES INC · Indio, CA
LPL FINANCIAL LLC · INDIO, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · La Quinta, CA
WELLS FARGO CLEARING SERVICES, LLC · PALM DESERT, CA

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