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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 2013-09-19
CO RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • CO RA
    APPROVED
    Since 2012-10-01

Branch Locations

2696 S. Colorado Blvd., Denver, CO 80222 • 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
Bank One Denver CO 09/2001 Present
J.P. Morgan Securities Llc Aurora CO 10/2012 Present
Onyx And Amber By Cbrc, Llc Denver CO 06/2024 Present
  • 09/2001 → Present
    Bank One
    Denver, CO
  • 10/2012 → Present
    Aurora, CO
  • 06/2024 → Present
    Onyx And Amber By Cbrc, Llc
    Denver, CO
Previous Registrations
  • 2009-06-26 → 2012-10-01
    Chase Investment Services Corp.
    Aurora, CO
    Centennial, CO
    Westminster, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Westminster, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Denver, CO
    Aurora, CO
Other Businesses

Entity Name: Onyx and Amber by CBRC, LLC Investment related: No "Address: 1860 W 12th Ave Denver, CO 80204 onyxandamber.com" Nature of the other business: Non-Distilling Whiskey Company Position/Title/Relationship: Owner/Partner Start Date: 06/14/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Onyx and Amber is a non-distilling whiskey company. We buy barrels of whiskey and age them in Colorado at an existing distillery. While the whiskey ages for the next couple of years, we just wait. I am a silent investor, no active responsibilities. We have a manager that will take care of marketing and distribution. This is a very small scale passion project/hobby between friends that does not require any time away from JPMC. There is nothing similar to JPMC or any connection with JPMC." 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: 5/4/2020 ADDRESS: 1238 SILVERTHORNE, CO DETAILS: second house that we are going to rent out INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 1 HOURS DURING TRADING: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-24
  • S66 Uniform Combined State Law Examination
    2009-06-24
Other Names
  • Brian D. Vaught

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