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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 2020-08-21
CT RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2020-08-21
  • CT RA
    APPROVED
    Since 2012-10-01

Branch Locations

80 Quality Street, Trumbull, CT 06611 • 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 Trumbull CT 10/2012 Present
Jpmorgan Chase Bank, N.A. Trumbull CT 09/2010 Present
Previous Registrations
  • 2010-11-11 → 2012-10-01
    Chase Investment Services Corp.
    Bridgeport, CT
    Bridgeport, CT
    Bridgeport, CT
    Trumbull, CT
    Trumbull, CT
    Monroe, CT
    Mount Vernon, NY
    New Rochelle, NY
    Rye Brook, NY
    New Rochelle,, NY
    Mamaroneck, NY
    New Rochelle, NY
    New Rochelle, NY
    New Rochelle, NY
    New Rochelle, NY
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 8/1/2015 ADDRESS: 309 YONKERS, NY. DETAILS: Rental real estate property INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 1 HOURS DURING TRADING: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-10
S63 Uniform Securities Agent State Law Examination 2003-07-02
  • S65 Uniform Investment Adviser Law Examination
    2010-11-10
  • S63 Uniform Securities Agent State Law Examination
    2003-07-02

View on SEC IAPD

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