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Tarleton E Smith

J.P. Morgan Securities LLC

Huntington, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
TX RA APPROVED 2013-09-13
NJ RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED
    Since 2013-09-13
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

350 Main St Floor 2 , Huntington, NY 11743 • 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 Hicksville NY 10/2012 Present
Jpmorgan Chase Bank, N.A. Hicksville NY 12/2002 Present
Previous Registrations
  • 2003-04-01 → 2012-10-01
    Chase Investment Services Corp.
    Bethpage, NY
    Hicksville, NY
    Hicksville, NY
    Hicksville, NY
    Plainview, NY
    Woodbury, NY
    Plainview, NY
    Syosset, NY
    Hicksville, NY
    Hicksville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-27
S63 Uniform Securities Agent State Law Examination 1998-12-29
  • S65 Uniform Investment Adviser Law Examination
    2003-03-27
  • S63 Uniform Securities Agent State Law Examination
    1998-12-29
Designations
Other Names
  • Terry Smith
  • Tarleton E Smith
  • Tarleton Elmer Smith

View on SEC IAPD

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