Brad Scott Sottong

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-08-12
IN	RA	APPROVED	2017-11-13

TX RA
APPROVED_RES

Since 2018-08-12
IN RA
APPROVED

Since 2017-11-13

Branch Locations

702 East 86Th Street, Indianapolis, IN 46240 • 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

Organization	City	State	From	To
Jp Morgan Chase	Indianapolis	IN	02/2007	06/2018
J.P. Morgan Securities Llc	Indianapolis	IN	10/2012	06/2018
Jp Morgan Chase Bank N.A.	Westfield	IN	06/2018	Present
Jp Morgan Chase Bank Llc	Westfield	IN	06/2018	Present

02/2007 → 06/2018

Jp Morgan Chase

Indianapolis, IN
10/2012 → 06/2018

J.P. Morgan Securities Llc

Indianapolis, IN
06/2018 → Present

Jp Morgan Chase Bank N.A.

Westfield, IN
06/2018 → Present

Jp Morgan Chase Bank Llc

Westfield, IN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-11-10
S63	Uniform Securities Agent State Law Examination	2007-03-21

S66 Uniform Combined State Law Examination

2017-11-10
S63 Uniform Securities Agent State Law Examination

2007-03-21

Other Names

Bradley S Sottong

View on SEC IAPD

Employer firm

Current Employers

J.P. Morgan Securities Llc

Disclosures

Employment History

Exams

Other Names

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