Howard Lee Herring

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → Present
  J.P. Morgan Securities Llc
  Bellaire, TX
• 05/2022 → Present
  5 Pines Enterprises
  Magnolia, TX

Previous Registrations

• 2012-09-11 → 2012-10-01
  Chase Investment Services Corp.
  Bellaire, TX
• 2009-10-23 → 2012-09-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX
  Houston, TX
• 2008-03-13 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Houston, TX
  Houston, TX

Other Businesses

Entity Name: 5 Pines Enterprises Investment related: No "Address: #5 Whispering Pines Magnolia, Tx 77354" Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 05/16/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: My dad passed away Nov 18, 2021 and had a partnership with my mom for their commercial real estate properties. My mom wants to add me on the partnership to replace my dad to keep the partnership going."

Exams

• S66 Uniform Combined State Law Examination
  2008-03-11
• S63 Uniform Securities Agent State Law Examination
  2000-01-18

Other Names

• Howard Lee Herring