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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-10-19 |
Branch Locations
270 Park Avenue Floors 24 And 25, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | New York | NY | 03/2004 | Present |
| J.P. Morgan Securities Llc | New York | NY | 11/2004 | Present |
| Audio Evolution Diagnostics, Inc. | Broken Arrow | OK | 03/2007 | Present |
Entity Name: AUDIO EVOLUTION DIAGNOSTICS, INC. Investment related: Yes Address: 2608 Broken Arrow, Oklahoma 74012 Nature of the other business: Medical Device/Medical Technology. Position/Title/Relationship: Partial Owner Start Date: 01 Mar 2007 Approximate # of hours a month: 0 Approximate # of hours during securities hours: 0 Briefly describe your duties: Seed Investor.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 2002-05-02 |
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