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Rohit Malhotra

J.P. Morgan Securities LLC

New York, NY

CRD 5209247

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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:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-18
NY RA APPROVED 2026-03-17
  • TX RA
    APPROVED_RES
    Since 2026-03-18
  • NY RA
    APPROVED
    Since 2026-03-17

Branch Locations

270 Park Avenue 22Nd And 23Rd Floors, New York, NY 10017 • 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
Jpmorgan Chase Bank, N.A. New York NY 03/2026 Present
J.P. Morgan Securities Llc New York NY 03/2026 Present
Unemployed Millburn NJ 02/2026 02/2026
Wilmington Trust/M&T Bank/Lpl New York NY 07/2018 01/2026
Unemployed Millburn NJ 04/2018 06/2018
Citibank, Na New York NY 07/2006 03/2018
  • 03/2026 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 03/2026 → Present
    J.P. Morgan Securities Llc
    New York, NY
  • 02/2026 → 02/2026
    Unemployed
    Millburn, NJ
  • 07/2018 → 01/2026
    Wilmington Trust/M&T Bank/Lpl
    New York, NY
  • 04/2018 → 06/2018
    Unemployed
    Millburn, NJ
  • 07/2006 → 03/2018
    Citibank, Na
    New York, NY
Previous Registrations
  • 2021-06-09 → 2026-01-23
    Lpl Financial Llc
    Syracuse, NY
    New York, NY
    New York, NY
  • 2018-10-12 → 2021-06-09
    M&T Securities, Inc.
    New York, NY
    Wilmington, DE
    New York, NY
    New York, NY
    Syracuse, NY
  • 2010-09-09 → 2018-03-29
    Citigroup Global Markets Inc.
    New York, NY
    New York, NY
    Denver, CO
    Houston, TX
    Washington, DC
    New York, NY
    Long Island City, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-08
S63 Uniform Securities Agent State Law Examination 2006-09-13
  • S65 Uniform Investment Adviser Law Examination
    2010-09-08
  • S63 Uniform Securities Agent State Law Examination
    2006-09-13

View on SEC IAPD

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