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Cody A Barrick

J.P. Morgan Securities LLC

Dallas, TX

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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 2015-11-30
  • TX RA
    APPROVED
    Since 2015-11-30

Branch Locations

1900 N. Akard St. 5Th And 6Th Fl., Dallas, TX 75201 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank, N.A. Dallas TX 11/2015 Present
J.P. Morgan Securities Llc Dallas TX 11/2015 Present
Previous Registrations
  • 2008-09-17 → 2015-11-20
    Deutsche Bank Securities Inc.
    Dallas, TX
  • 2008-03-26 → 2008-09-24
    Lehman Brothers Inc.
    Dallas, TX
    New York, NY
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-25
S63 Uniform Securities Agent State Law Examination 1998-11-16
  • S66 Uniform Combined State Law Examination
    2008-03-25
  • S63 Uniform Securities Agent State Law Examination
    1998-11-16
Other Names
  • Cody Andrew Barrick

View on SEC IAPD

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