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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2012-10-01
  • WI RA
    APPROVED
    Since 2012-10-01

Branch Locations

7510 Bristol Rd, Bristol, WI 53104 • 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 Bristol WI 10/2012 Present
Jpmorgan Chase Bank, Na. Bristol WI 07/2012 Present
Previous Registrations
  • 2012-08-08 → 2012-10-01
    Chase Investment Services Corp.
    Bristol, WI
  • 2010-07-01 → 2012-08-07
    Bmo Harris Financial Advisors, Inc.
    Woodstock, IL
    Buffalo Grove, IL
  • 2009-03-02 → 2010-09-30
    Amcore Investment Services, Inc
    Lombard, IL
    Aurora, IL
    Elgin, IL
    Woodstock, IL
    South Elgin, IL
    Carol Stream, IL
    Algonquin, IL
    Schaumburg, IL
    Elgin, IL
    St. Charles, IL
    Lake Zurich, IL
  • 2008-08-20 → 2009-01-02
    Chase Investment Services Corp.
    Round Lake Beach, IL
    Lindenhurst, IL
    Spring Grove, IL
    Grayslake, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-18
S63 Uniform Securities Agent State Law Examination 2002-04-05
  • S66 Uniform Combined State Law Examination
    2008-08-18
  • S63 Uniform Securities Agent State Law Examination
    2002-04-05
Other Names
  • Brian K Gregg

View on SEC IAPD

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