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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-04-19
NY RA APPROVED 2021-05-03
TX RA APPROVED_RES 2013-09-20
CT RA APPROVED 2012-10-01
  • NJ RA
    APPROVED
    Since 2023-04-19
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2013-09-20
  • CT RA
    APPROVED
    Since 2012-10-01

Branch Locations

430 State Route 35, Red Bank, NJ 07701 • 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
J.P. Morgan Securities Llc Red Bank NJ 10/2012 Present
Jpmorgan Chase Bank, N.A. Red Bank NJ 10/2012 Present
Previous Registrations
  • 2003-07-14 → 2012-10-01
    Chase Investment Services Corp.
    New York City, NY
    New York, NY
  • 2002-05-23 → 2003-07-21
    Morgan Stanley Dw Inc.
    Edison, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-06-07
  • S66 Uniform Combined State Law Examination
    1999-06-07

View on SEC IAPD

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