Brett David Froman

J.P. Morgan Securities LLC

West Harrison, NY

CRD 4428229

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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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-02-18
NY	RA	APPROVED	2021-11-24
NJ	RA	APPROVED	2014-01-24

TX RA
APPROVED_RES

Since 2026-02-18
NY RA
APPROVED

Since 2021-11-24
NJ RA
APPROVED

Since 2014-01-24

Branch Locations

300 Westage Business Center Dr, Fishkill, NY 12524 • United States

925 Westchester Ave, West Harrison, NY 10604 • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Hopewell Junction	NY	11/2013	Present
Jpmorgan Chase Bank, N.A.	Hopewell Junction	NY	11/2013	Present

11/2013 → Present

J.P. Morgan Securities Llc

Hopewell Junction, NY
11/2013 → Present

Jpmorgan Chase Bank, N.A.

Hopewell Junction, NY

Previous Registrations

2011-12-13 → 2014-01-17

Capital One Financial Advisors Llc

Melville, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-12-09
S63	Uniform Securities Agent State Law Examination	2007-08-17

S65 Uniform Investment Adviser Law Examination

2011-12-09
S63 Uniform Securities Agent State Law Examination

2007-08-17

Other Names

Brett D Froman
Brett Froman

View on SEC IAPD

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