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Steven Kleiner

J.P. Morgan Securities LLC

Somers, NY

CRD 4407770

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Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
CT RA APPROVED 2017-04-03
  • NY RA
    APPROVED
    Since 2021-05-03
  • CT RA
    APPROVED
    Since 2017-04-03

Branch Locations

Rte. 100 & 202, Somerstown Ctr., Somers, NY 10589 • 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
Unified Financial Securities, Llc New York NY 09/2008 03/2017
J.P. Morgan Securities Llc Somers NY 03/2017 Present
Jpmorgan Chase Bank, N.A. Somers NY 03/2017 Present
  • 09/2008 → 03/2017
    Unified Financial Securities, Llc
    New York, NY
  • 03/2017 → Present
    J.P. Morgan Securities Llc
    Somers, NY
  • 03/2017 → Present
    Jpmorgan Chase Bank, N.A.
    Somers, NY
Previous Registrations
  • 2010-11-03 → 2016-07-26
    Roosevelt Investments
    New York, NY
  • 2002-09-23 → 2008-10-03
    Ubs Financial Services Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-23
  • S66 Uniform Combined State Law Examination
    2001-08-23
Other Names
  • Steven Lawrence Kleiner

View on SEC IAPD

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