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Marco Antonio Diaz

J.P. Morgan Securities LLC

Chicago, IL

CRD 3086464

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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

AuthorityCategoryStatusDate
IL RA APPROVED 2023-06-08
NY RA APPROVED 2021-05-03
  • IL RA
    APPROVED
    Since 2023-06-08
  • NY RA
    APPROVED
    Since 2021-05-03

Branch Locations

10 S. Dearborn Street Floor 11, Chicago, IL 60603 • 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 Chicago IL 03/2009 05/2019
J.P. Morgan Securities Llc Chicago IL 03/2020 Present
Unemployed Lockport IL 06/2019 02/2020
Jp Morgan Chase Bank, N.A. Chicago IL 03/2020 07/2025
Previous Registrations
  • 2009-03-20 → 2012-05-15
    J.P. Morgan Securities Llc
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2003-03-21 → 2004-09-16
    Banc One Securities Corporation
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-07-13
S63 Uniform Securities Agent State Law Examination 1998-07-30
  • S65 Uniform Investment Adviser Law Examination
    2020-07-13
  • S63 Uniform Securities Agent State Law Examination
    1998-07-30

View on SEC IAPD

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