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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-03 |
| NY | RA | APPROVED | 2021-03-02 |
Branch Locations
270 Park Avenue 22Nd And 23Rd Floors, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 08/2014 | Present |
| Jpmorgan Chase Bank, N.A. | New York | NY | 07/2010 | Present |
Entity Name: Santi S Wong Investment related: Yes Address: 403 Middletown, DE Nature of the other business: Rental home Position/Title/Relationship: Owner Start Date: 31-Jul-2019 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: None
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-03 |
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