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Carlos E. Rojas

J.P. Morgan Securities LLC

Chino Hills, 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 2014-12-04
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2014-12-04
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

4200 Chino Hill Pkwy., Ste. 175, Chino Hills, CA 91709 • 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
Jpmorgan Chase Bank, N.A Chino Hills CA 06/2013 Present
  • 06/2013 → Present
    Jpmorgan Chase Bank, N.A
    Chino Hills, CA
Previous Registrations
  • 2011-11-23 → 2012-10-01
    Chase Investment Services Corp.
    Ontario, CA
    Montclair, CA
    Ontario, CA
  • 2009-02-02 → 2011-11-16
    Edward Jones
    Rancho Cucamonga, CA
    Rancho Cucamonga, CA
    Ontario, CA
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-30
  • S66 Uniform Combined State Law Examination
    2009-01-30
Other Names
  • Carlos Edward Rojas
  • Carlos Rojas

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Chino Hills, CA
EDWARD JONES · CHINO HILLS, CA
SHAH WEALTH ADVISORS · CHINO HILLS, CA
CETERA INVESTMENT ADVISERS LLC · CHINO HILLS, CA
CITIGROUP GLOBAL MARKETS INC. · Chino Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHINO HILLS, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Chino, CA
ALLSTATE FINANCIAL ADVISORS, LLC · Chino, CA

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