Best Investors Account Sign in

James Lewis Mosley

J.P. Morgan Securities LLC

Wheat Ridge, CO

Arvada, CO

Claim This Profile
Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-06-25
CO RA APPROVED 2023-11-06
  • TX RA
    APPROVED
    Since 2025-06-25
  • CO RA
    APPROVED
    Since 2023-11-06

Branch Locations

7405 W 38Th Ave, Wheat Ridge, CO 80033 • United States

5250 Wadsworth Bypass, Arvada, CO 80002 • 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
Transamerica Capital, Inc. Denver CO 09/2013 10/2023
J.P. Morgan Securities Llc Arvada CO 11/2023 Present
Jpmorgan Chase Bank, N.A. Arvada CO 11/2023 Present
Rocky Mountain Car Wash Llc St. Aurora CO 04/2022 12/2024
  • 09/2013 → 10/2023
    Transamerica Capital, Inc.
    Denver, CO
  • 11/2023 → Present
    J.P. Morgan Securities Llc
    Arvada, CO
  • 11/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Arvada, CO
  • 04/2022 → 12/2024
    Rocky Mountain Car Wash Llc
    St. Aurora, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-22
S66 Uniform Combined State Law Examination 2011-10-25
S63 Uniform Securities Agent State Law Examination 2010-05-11
  • S65 Uniform Investment Adviser Law Examination
    2023-09-22
  • S66 Uniform Combined State Law Examination
    2011-10-25
  • S63 Uniform Securities Agent State Law Examination
    2010-05-11
Other Names
  • James Lewis Mosley
  • James Mosley
  • James L Mosley

View on SEC IAPD

More in Wheat Ridge, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor