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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2024-03-28
TX RA APPROVED 2024-03-27
  • LA RA
    APPROVED
    Since 2024-03-28
  • TX RA
    APPROVED
    Since 2024-03-27

Branch Locations

451 Florida St Floor 6, Suite 625, Baton Rouge, LA 70801 • 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
Scotia Capital (Usa) Inc. New Orleans LA 06/2017 08/2019
Stonehenge Capital Company Baton Rouge LA 06/2016 06/2017
Scotia Capital (Usa) Inc. Houston TX 09/2019 11/2020
Jpmorgan Chase Bank Na Baton Rouge LA 04/2021 Present
Jpmorgan Securities Llc Baton Rouge LA 04/2021 Present
Unemployed Houston TX 12/2020 04/2021
  • 06/2017 → 08/2019
    Scotia Capital (Usa) Inc.
    New Orleans, LA
  • 06/2016 → 06/2017
    Stonehenge Capital Company
    Baton Rouge, LA
  • 09/2019 → 11/2020
    Scotia Capital (Usa) Inc.
    Houston, TX
  • 04/2021 → Present
    Jpmorgan Chase Bank Na
    Baton Rouge, LA
  • 04/2021 → Present
    Jpmorgan Securities Llc
    Baton Rouge, LA
  • 12/2020 → 04/2021
    Unemployed
    Houston, TX
Other Businesses

Entity Name: GaitWay Therapeutic Horsemanship Investment related: No Address: 1300 Lawrence Parkway St. Gabriel, LA 70776 Nature of the other business: Nonprofit  Position/Title/Relationship: Board Member Start Date: 02/01/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am the treasurer for GaitWay beginning in 2024. We do not have any investment accounts. I do not have any say in the financial providers we use. Entity Name: The Emerge Foundation Investment related: No Address:Baton Rouge, LA 70820 Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 03/06/2023 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The board of directors will meet six times per year to help raise money for the Foundation.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-03-27
S63 Uniform Securities Agent State Law Examination 2013-08-23
  • S65 Uniform Investment Adviser Law Examination
    2024-03-27
  • S63 Uniform Securities Agent State Law Examination
    2013-08-23
Other Names
  • Philip Stuart
  • John P Stuart

View on SEC IAPD

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