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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 | 2021-05-03 |
| NJ | RA | APPROVED | 2017-12-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bradford Smith | New York | NY | 06/2012 | 05/2017 |
| J.P. Morgan Securities Llc | Kew Gardens | NY | 12/2017 | Present |
| Unemployed | Oakland Gardens | NY | 06/2017 | 11/2017 |
| Jpmorgan Chase Bank, N.A. | Kew Gardens | NY | 12/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-12-19 |
| S65 | Uniform Investment Adviser Law Examination | 1998-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-14 |
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