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Dennis C Buenaventura

J.P. Morgan Securities LLC

Downey, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-01-26
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2017-01-26
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

8450 Firestone Blvd., Downey, CA 90241 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Downey CA 05/2013 Present
Jpmorgan Chase Bank, Na Downey CA 05/2013 Present
Previous Registrations
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Downey, CA
  • 2009-02-09 → 2009-05-02
    Wamu Investments, Inc.
    Downey, CA
  • 2008-05-28 → 2008-11-28
    Wells Fargo Clearing Services, Llc
    Riverside, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-27
  • S66 Uniform Combined State Law Examination
    2008-05-27

View on SEC IAPD

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