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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 2017-07-12
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2017-07-12
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

27888 Santa Margarita Pkwy, Mission Viejo, CA 92691 • 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 Mission Viejo CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Mission Viejo CA 12/2009 Present
  • 10/2012 → Present
    Mission Viejo, CA
  • 12/2009 → Present
    Jpmorgan Chase Bank, N.A.
    Mission Viejo, CA
Previous Registrations
  • 2010-01-11 → 2012-10-01
    Chase Investment Services Corp.
    Lake Forest, CA
    Mission Viejo, CA
    Mission Viejo, CA
    Irvine, CA
    Rancho Santa Margarita, CA
    Foothill Ranch, CA
  • 2007-09-18 → 2010-01-06
    Huntington Beach, CA
    Huntington Beach, CA
    Huntington Beach, CA
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-13
  • S66 Uniform Combined State Law Examination
    2007-09-13

View on SEC IAPD

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