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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-08-29
NY RA APPROVED 2021-05-03
NJ RA APPROVED 2014-04-03
  • PA RA
    APPROVED
    Since 2022-08-29
  • NY RA
    APPROVED
    Since 2021-05-03
  • NJ RA
    APPROVED
    Since 2014-04-03

Branch Locations

81-35 Lefferts Blvd., Kew Gardens, NY 11415 • 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
OrganizationCityStateFromTo
Jp Morgan Securities Llc Ozone Park NY 05/2016 Present
Jp Morgan Chase Bank, N.A. Ozone Park NY 05/2016 Present
  • 05/2016 → Present
    Ozone Park, NY
  • 05/2016 → Present
    Jp Morgan Chase Bank, N.A.
    Ozone Park, NY
Previous Registrations
  • 2011-01-24 → 2012-08-06
    Brooklyn, NY
    Brooklyn, NY
    Fort Mill, SC
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brookyln, NY
    Brooklyn, NY
  • 2009-12-07 → 2010-12-03
    Chase Investment Services Corp.
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
  • 2007-05-29 → 2009-12-04
    Long Island City, NY
    Ridgewood, NY
    Greenwich, CT
    Brooklyn, NY
    Brooklyn, NY
  • 2004-12-07 → 2007-05-29
    Citicorp Investment Services
    Brooklyn, NY
    Brooklyn, NY
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 9/1/2012 ADDRESS: 29-45 ROCKAWAY, NY. DETAILS: Real Estate INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 15 HOURS DURING TRADING: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-29
S63 Uniform Securities Agent State Law Examination 1997-09-17
  • S65 Uniform Investment Adviser Law Examination
    2004-10-29
  • S63 Uniform Securities Agent State Law Examination
    1997-09-17
Other Names
  • Rick Esteban

View on SEC IAPD

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