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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 2019-07-10
WA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2019-07-10
  • WA RA
    APPROVED
    Since 2012-10-01

Branch Locations

7900 Se 28Th Street, Suite 101, Mercer Island, WA 98040 • 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 Mercer Island WA 08/2013 Present
Jpmorgan Chase Bank, N.A. Mercer Island WA 08/2013 Present
  • 08/2013 → Present
    Mercer Island, WA
  • 08/2013 → Present
    Jpmorgan Chase Bank, N.A.
    Mercer Island, WA
Previous Registrations
  • 2012-09-05 → 2012-10-01
    Chase Investment Services Corp.
    Mercer Island, WA
  • 2010-08-20 → 2012-09-14
    Edmonds, WA
    Woodinville, WA
    Bothell, WA
    Lynwood, WA
    Mill Creek, WA
    Seattle, WA
  • 2008-05-21 → 2010-08-20
    Kenmore, WA
    Othello, WA
    Warden, WA
    Wenatchee, WA
    Woodinville, WA
    Ephrata, WA
    Moses Lake, WA
    Royal City, WA
    Tonasket, WA
    Bothell, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    University Place, WA
  • 2007-02-06 → 2008-01-18
    Wamu Investments, Inc.
    Santa Monica, CA
    Santa Monica, CA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: CO -OWNER / CO -LANDLORD - RENTAL PROPERTY START DATE: 9/4/2020 ADDRESS: 6542 WENATCHEE WA. DETAILS: investment property INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 1 HOURS DURING TRADING: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-05
S63 Uniform Securities Agent State Law Examination 1998-04-29
  • S65 Uniform Investment Adviser Law Examination
    2007-02-05
  • S63 Uniform Securities Agent State Law Examination
    1998-04-29
Other Names
  • Susan Marie Anema
  • Susan Marie Barnett

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