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Phillip K Kozen

J.P. Morgan Securities LLC

Huber Heights, OH

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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_RES 2013-09-20
OH RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-20
  • OH RA
    APPROVED
    Since 2012-10-01

Branch Locations

6130 Chambersburg Road, Huber Heights, OH 45424 • 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
J.P. Morgan Securities Llc Huber Heights OH 10/2012 Present
Jpmorgan Chase Bank, N.A. Huber Heights OH 07/2000 Present
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Huber Heights, OH
  • 07/2000 → Present
    Jpmorgan Chase Bank, N.A.
    Huber Heights, OH
Previous Registrations
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Huber Heights, OH
    Chicago, IL
  • 2002-02-07 → 2005-07-06
    Banc One Securities Corporation
    Huber Heights, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-14
S63 Uniform Securities Agent State Law Examination 1998-08-07
  • S65 Uniform Investment Adviser Law Examination
    1998-08-14
  • S63 Uniform Securities Agent State Law Examination
    1998-08-07
Other Names
  • Phillip K Kozen
  • Phil Kozen
  • Phillip Kern Kozen

View on SEC IAPD

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Other Investors

NICHOLAS ANDREW WURST
DAVID WAYNE HALL
SAMUEL JAMES BERNARD
JOEL MICHAEL GRUBER
MATTHEW SHAWN PARKS
Niasha Onia Hasina Piper
Arthur Coates
RONALD D REDD

Other Offices

LPL FINANCIAL LLC · HUBER HEIGHTS, OH
PFS INVESTMENTS INC. · HUBER HEIGHTS, OH
STRATOS WEALTH PARTNERS, LTD · Huber Heights, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · Huber Heights, OH
LPL FINANCIAL LLC · HUBER HEIGHTS, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · HUBER HEIGHTS, OH
U.S. BANCORP ADVISORS, LLC · Huber Heights, OH
PFS INVESTMENTS INC. · DAYTON, OH

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