Brennan E. Lothery

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
NY	RA	APPROVED	2021-05-03
NJ	RA	APPROVED	2014-11-28
TX	RA	APPROVED	2014-11-25

NY RA
APPROVED

Since 2021-05-03
NJ RA
APPROVED

Since 2014-11-28
TX RA
APPROVED

Since 2014-11-25

Branch Locations

1462 Nostrand Ave., Brooklyn, NY 11226 • United States

1509 Foster Avenue, Brooklyn, NY 11230 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Jp Morgan Securities, Llc	Brooklyn	NY	11/2014	Present
Jpmorgan Chase Bank, N.A.	Brooklyn	NY	11/2014	Present

11/2014 → Present

Jp Morgan Securities, Llc

Brooklyn, NY
11/2014 → Present

Jpmorgan Chase Bank, N.A.

Brooklyn, NY

Previous Registrations

2012-05-22 → 2014-10-17

Securian Financial Services, Inc.

Clark, NJ
2003-02-03 → 2008-04-29

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Alpharetta, GA

Atlanta, GA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-03-26

S66 Uniform Combined State Law Examination

2012-03-26

Other Names

Brennan E Lothery
Brennan E Lothery
Brennan Eugene Lothery

View on SEC IAPD

Employer firm

Current Employers

J.P. Morgan Securities Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

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