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Luis Ramond Rodriguez

J.P. Morgan Securities LLC

Astoria, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
TX RA APPROVED_RES 2020-07-14
NJ RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2020-07-14
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

38-18 Broadway, Astoria, NY 11103 • 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
OrganizationCityStateFromTo
Jpmorgan Chase Bank, N.A. Astoria NY 07/2007 Present
J.P. Morgan Securities Llc Astoria NY 10/2012 Present
Previous Registrations
  • 2009-02-05 → 2012-10-01
    Chase Investment Services Corp.
    Woodside, NY
    Astoria, NY
    Astoria, NY
    East Elmhurst, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-02
S63 Uniform Securities Agent State Law Examination 2007-08-10
  • S65 Uniform Investment Adviser Law Examination
    2009-02-02
  • S63 Uniform Securities Agent State Law Examination
    2007-08-10
Other Names
  • Luis R Rodriguez

View on SEC IAPD

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