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James J Sorley

J.P. Morgan Securities LLC

Shorewood, IL

Joliet, IL

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-04-12
TX RA APPROVED_RES 2022-04-06
  • IL RA
    APPROVED
    Since 2022-04-12
  • TX RA
    APPROVED_RES
    Since 2022-04-06

Branch Locations

906 W. Jefferson Street, Shorewood, IL 60404 • United States

2500 W. Jefferson St, Joliet, IL 60435 • 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
Dean Witter Chicago IL 09/1999 Present
J.P. Morgan Securities Llc Shorewood IL 10/2012 Present
Jpmorgan Chase Bank, Na. Shorewood IL 04/2000 Present
  • 09/1999 → Present
    Dean Witter
    Chicago, IL
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Shorewood, IL
  • 04/2000 → Present
    Jpmorgan Chase Bank, Na.
    Shorewood, IL
Previous Registrations
  • 2005-10-10 → 2012-10-01
    Chase Investment Services Corp.
    Joliet, IL
    Chicago, IL
    Joliet, IL
    Joliet, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-07
S63 Uniform Securities Agent State Law Examination 2001-12-21
  • S66 Uniform Combined State Law Examination
    2005-10-07
  • S63 Uniform Securities Agent State Law Examination
    2001-12-21
Other Names
  • James Joseph Sorley
  • Jim Sorley

View on SEC IAPD

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