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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2022-10-21
GA RA APPROVED 2022-10-03
TX RA APPROVED_RES 2022-10-03
IL RA APPROVED 2017-03-23
  • TN RA
    APPROVED
    Since 2022-10-21
  • GA RA
    APPROVED
    Since 2022-10-03
  • TX RA
    APPROVED_RES
    Since 2022-10-03
  • IL RA
    APPROVED
    Since 2017-03-23

Branch Locations

3424 Peachtree Rd Ne Floor 24, Atlanta, GA 30326 • 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
Wells Fargo Advisors, Llc Palos Heights IL 02/2016 11/2016
Wells Fargo Clearing Services, Llc Palos Heights IL 11/2016 02/2017
Jpmorgan Chase Bank, N.A. Atlanta GA 02/2017 Present
J.P. Morgan Securities Llc Atlanta GA 02/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-11
S63 Uniform Securities Agent State Law Examination 2007-06-01
  • S66 Uniform Combined State Law Examination
    2012-06-11
  • S63 Uniform Securities Agent State Law Examination
    2007-06-01
Other Names
  • Rudy Smith
  • Rufus Herman Smith
  • Rufus Herman Smith
  • Rufus Herman Smith

View on SEC IAPD

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