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Katherine Sharon Festa

J.P. Morgan Securities LLC

Paramus, NJ

Columbus, OH

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-01-27
CT RA APPROVED 2021-08-17
NY RA APPROVED 2021-05-03
NJ RA APPROVED 2018-10-23
TX RA APPROVED_RES 2018-10-18
  • OH RA
    APPROVED
    Since 2022-01-27
  • CT RA
    APPROVED
    Since 2021-08-17
  • NY RA
    APPROVED
    Since 2021-05-03
  • NJ RA
    APPROVED
    Since 2018-10-23
  • TX RA
    APPROVED_RES
    Since 2018-10-18

Branch Locations

36 E. Midland Avenue Floor 2, Paramus, NJ 07652 • United States

1111 Polaris Parkway, Floor 3J, Columbus, OH 43240 • 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
Morgan Stanley Morristown NJ 06/2014 09/2018
Jpmorgan Chase Bank, N.A. Nanuet NY 10/2018 02/2024
J.P. Morgan Securities Llc Paramus NJ 09/2025 Present
J.P. Morgan Securities Llc New York NY 02/2024 09/2025
Previous Registrations
  • 2009-06-01 → 2018-10-16
    Morgan Stanley
    Paramus, NJ
    Paramus, NJ
    Short Hills, NJ
    New York, NY
    Morristown, NJ
    Short Hills, NJ
    Paramus, NJ
    Paramus, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Paramus, NJ
  • 2005-04-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Paramus, NJ
    Purchase, NY
    Purchase, NY
  • 2004-09-07 → 2005-04-28
    Ubs Financial Services Inc.
    Weehawken, NJ
  • 2002-06-05 → 2004-08-23
    Morgan Stanley Dw Inc.
    White Plains, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-08
S63 Uniform Securities Agent State Law Examination 1998-01-22
  • S65 Uniform Investment Adviser Law Examination
    1999-04-08
  • S63 Uniform Securities Agent State Law Examination
    1998-01-22
Other Names
  • Katherine Sharon Lim
  • Katherine Festa

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · Paramus, NJ
J.P. MORGAN SECURITIES LLC · Paramus, NJ
WELLS FARGO CLEARING SERVICES, LLC · PARAMUS, NJ
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