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Sandra Joy Rosenstein

J.P. Morgan Securities LLC

Chicago, IL

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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 2022-12-06
IL RA APPROVED 2022-12-02
  • TX RA
    APPROVED_RES
    Since 2022-12-06
  • IL RA
    APPROVED
    Since 2022-12-02

Branch Locations

10 S Dearborn St Floor 09, Chicago, IL 60603 • 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
Jpmorgan Securities Llc Chicago IL 10/2008 Present
Jpmorgan Chase Bank Na Chicago IL 11/2016 Present
  • 10/2008 → Present
    Jpmorgan Securities Llc
    Chicago, IL
  • 11/2016 → Present
    Jpmorgan Chase Bank Na
    Chicago, IL
Previous Registrations
  • 2006-09-27 → 2008-10-01
    J.P. Morgan Securities Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2003-06-05 → 2006-09-27
    Banc One Securities Corporation
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-09
S66 Uniform Combined State Law Examination 2003-06-02
  • S65 Uniform Investment Adviser Law Examination
    2023-01-09
  • S66 Uniform Combined State Law Examination
    2003-06-02
Designations
Other Names
  • Sandra J Goldberg
  • Sandra J Rosenstein

View on SEC IAPD

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