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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-10 |
| PA | RA | APPROVED | 2023-12-18 |
| WA | RA | APPROVED | 2023-10-11 |
| NY | RA | APPROVED | 2021-09-14 |
| TX | RA | APPROVED | 2021-09-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | New York | NY | 11/2013 | 01/2017 |
| Cathay Bank | New York | NY | 02/2017 | 04/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 01/2017 | 02/2017 |
| Cetera Investment Advisers Llc | New York | NY | 01/2017 | 02/2017 |
| Lpl Financial, Llc | New York | NY | 02/2017 | 09/2017 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2017 | 04/2019 |
| Cetera Investment Advisers Llc | New York | NY | 09/2017 | 04/2019 |
| Hsbc Bank Usa, N.A. | New York | NY | 04/2019 | 09/2021 |
| Hsbc Securities (Usa) Inc. | New York | NY | 05/2019 | 09/2021 |
| J.P. Morgan Securities Llc | Brooklyn | NY | 09/2021 | Present |
| Jpmorgan Chase Bank, N.A. | Brooklyn | NY | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-28 |
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