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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
TX RA APPROVED_RES 2013-09-20
NJ RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2013-09-20
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

147 E 86Th Street, New York, NY 10028 • 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
J.P. Morgan Securities Llc New York NY 10/2012 Present
Jpmorgan Chase Bank, N.A. New York NY 11/2011 Present
Previous Registrations
  • 2011-11-30 → 2012-10-01
    Chase Investment Services Corp.
    New York, NY
  • 2008-06-23 → 2011-11-29
    New York, NY
    New York, NY
    New York, NY
  • 2007-05-29 → 2008-06-13
    Rego Park, NY
  • 2004-12-06 → 2007-05-29
    Citicorp Investment Services
    Brooklyn, NY
    Brooklyn, NY
    Rego Park, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-08
  • S66 Uniform Combined State Law Examination
    2002-01-08

View on SEC IAPD

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