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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-11
  • CA RA
    APPROVED
    Since 2025-09-11

Branch Locations

2100 El Camino Real, Palo Alto, CA 94306 • 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
Jpmorgan Chase Bank Na New York NY 05/2008 03/2021
Chase Investment Services Corp New York NY 05/2008 03/2021
J.P. Morgan Securities Llc Menlo Park CA 12/2023 06/2024
Jpmorgan Chase Bank, N.A. Palo Alto CA 07/2023 Present
First Republic Bank Menlo Park CA 03/2021 07/2023
J.P. Morgan Securities Llc Palo Alto CA 03/2025 Present
Swati Seth Fremont CA 05/2024 Present
  • 05/2008 → 03/2021
    Jpmorgan Chase Bank Na
    New York, NY
  • 05/2008 → 03/2021
    Chase Investment Services Corp
    New York, NY
  • 12/2023 → 06/2024
    Menlo Park, CA
  • 07/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Palo Alto, CA
  • 03/2021 → 07/2023
    First Republic Bank
    Menlo Park, CA
  • 03/2025 → Present
    Palo Alto, CA
  • 05/2024 → Present
    Swati Seth
    Fremont, CA
Other Businesses

the name of the other business; Rental Property- 4461 Irvington Avenue Fremont CA 94538 whether the business is investment-related; No the address of the other business; 4461 Irvington Avenue Fremont CA 94538 the nature of the other business; Rental property your position; owner title, or relationship with the other business; owner the start date of your relationship; May 2024 the approximate number of hours/month you devote to the other business; 5 the number of hours you devote to the other business during securities trading hours; no and briefly describe your duties relating to the other business; Manage any needs / repairs etc. for the tenants.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-11
S63 Uniform Securities Agent State Law Examination 2008-06-17
  • S66 Uniform Combined State Law Examination
    2025-09-11
  • S63 Uniform Securities Agent State Law Examination
    2008-06-17
Other Names
  • Simi Gulati
  • Swati G Seth
  • Simi Seth
  • Swati Gulati
  • Swati Gulati Seth

View on SEC IAPD

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