Joseph Ausanio

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	2022-03-16
NY	RA	APPROVED	2021-05-03
TX	RA	APPROVED_RES	2015-07-28
NJ	RA	APPROVED	2012-10-01

AL RA
APPROVED

Since 2022-03-16
NY RA
APPROVED

Since 2021-05-03
TX RA
APPROVED_RES

Since 2015-07-28
NJ RA
APPROVED

Since 2012-10-01

Branch Locations

676 White Plains Road, Scarsdale, NY 10583 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	Scarsdale	NY	04/2004	Present
J.P. Morgan Securities Llc	Scarsdale	NY	10/2012	Present

04/2004 → Present

Jpmorgan Chase Bank, N.A.

Scarsdale, NY
10/2012 → Present

J.P. Morgan Securities Llc

Scarsdale, NY

Previous Registrations

2007-05-11 → 2012-10-01

Chase Investment Services Corp.

Yonkers, NY

White Plains, NY

Rye, NY

Yonkers, NY

Yonkers, NY

Yonkers, NY

Rye, NY

White Plains, NY

Yonkers, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-02-27
S63	Uniform Securities Agent State Law Examination	1997-05-09

S65 Uniform Investment Adviser Law Examination

2007-02-27
S63 Uniform Securities Agent State Law Examination

1997-05-09

View on SEC IAPD