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Seth Gusow

J.P. Morgan Securities LLC

Los Angeles, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-01
CA RA APPROVED 2024-02-26
  • TX RA
    APPROVED
    Since 2024-05-01
  • CA RA
    APPROVED
    Since 2024-02-26

Branch Locations

2029 Century Park E Floor 40, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Imperial Capital, Llc Los Angeles CA 07/2012 10/2020
Jpmorgan Chase Bank, N.A. Los Angeles CA 10/2020 Present
J.P. Morgan Securities Llc Los Angeles CA 10/2020 Present
  • 07/2012 → 10/2020
    Imperial Capital, Llc
    Los Angeles, CA
  • 10/2020 → Present
    Jpmorgan Chase Bank, N.A.
    Los Angeles, CA
  • 10/2020 → Present
    J.P. Morgan Securities Llc
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-01
S63 Uniform Securities Agent State Law Examination 1997-06-13
  • S65 Uniform Investment Adviser Law Examination
    2024-05-01
  • S63 Uniform Securities Agent State Law Examination
    1997-06-13
Other Names
  • Seth Robert Gusow

View on SEC IAPD

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