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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-20 |
| CA | RA | APPROVED | 2018-09-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank Na | Santa Cruz | CA | 09/2011 | 09/2018 |
| J.P. Morgan Securities Llc | Santa Cruz | CA | 10/2018 | 06/2020 |
| J.P. Morgan Securities Llc | Scotts Valley | CA | 06/2020 | Present |
| Jpmorgan Chase Bank Na | Scotts Valley | CA | 06/2020 | Present |
ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: ACCESSIBILITY CONNECTION POSITION: SIGNER START DATE: 9/2/2017 ADDRESS: 1303 Roseville, CA DETAILS: FAMILY BUSINESS SPECIALIZING IN HOME REMODELING. HOURS DEDICATED (per month unless otherwise indicated): NONE HOURS DURING TRADING: NONE INVESTMENT RELATED: NO
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-29 |
| S65 | Uniform Investment Adviser Law Examination | 2007-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-08 |
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