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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-27
TX RA APPROVED 2023-04-26
  • CA RA
    APPROVED
    Since 2023-04-27
  • TX RA
    APPROVED
    Since 2023-04-26

Branch Locations

2029 Century Park East, Floor 37, Los Angeles, CA 90067 • 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
First Republic Securities Company, Llc Los Angeles CA 07/2015 04/2017
First Republic Investment Management, Inc. Los Angeles CA 07/2015 04/2017
First Republic Securities Company, Llc Los Angeles CA 04/2017 04/2023
First Republic Securities Company, Llc Los Angeles CA 04/2017 04/2023
J.P. Morgan Securities Llc Los Angeles CA 04/2023 Present
Jpmorgan Chase Bank, N.A. Los Angeles CA 04/2023 Present
  • 07/2015 → 04/2017
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 07/2015 → 04/2017
    First Republic Investment Management, Inc.
    Los Angeles, CA
  • 04/2017 → 04/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 04/2017 → 04/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 04/2023 → Present
    Los Angeles, CA
  • 04/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Los Angeles, CA
Previous Registrations
  • 2015-07-31 → 2023-05-19
    J.P. Morgan Private Wealth Advisors Llc
    Los Angeles, CA
  • 2008-09-25 → 2015-08-25
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
  • 2008-03-18 → 2008-10-07
    Lehman Brothers Inc.
    Los Angeles, CA
    New York, NY
    Los Angeles, CA
Other Businesses

Effective 4/26/2023 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-17
S63 Uniform Securities Agent State Law Examination 1998-11-16
  • S66 Uniform Combined State Law Examination
    2008-03-17
  • S63 Uniform Securities Agent State Law Examination
    1998-11-16
Other Names
  • Catherine Marie Chase
  • Catherine Marie Chase
  • Catherine C. Kramer

View on SEC IAPD

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