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Kevin Findlay

J.P. Morgan Securities LLC

Irvine, CA

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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 2025-06-20
TX RA APPROVED_RES 2025-06-20
  • CA RA
    APPROVED
    Since 2025-06-20
  • TX RA
    APPROVED_RES
    Since 2025-06-20

Branch Locations

3 Park Plz Suite 700, Irvine, CA 92614 • 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
Scottrade Greece NY 07/2011 02/2018
Td Ameritrade, Inc. Mission Viejo CA 02/2018 12/2022
Td Ameritrade Investment Management, Llc Mission Viejo CA 02/2018 12/2022
Charles Schwab & Co., Inc. Mission Viejo CA 01/2022 05/2025
Charles Schwab Bank, Ssb Mission Viejo CA 07/2022 05/2025
Jpmorgan Chase Bank, N.A. Irvine CA 06/2025 Present
J.P. Morgan Securities Llc Irvine CA 06/2025 Present
  • 07/2011 → 02/2018
    Scottrade
    Greece, NY
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    Mission Viejo, CA
  • 02/2018 → 12/2022
    Td Ameritrade Investment Management, Llc
    Mission Viejo, CA
  • 01/2022 → 05/2025
    Charles Schwab & Co., Inc.
    Mission Viejo, CA
  • 07/2022 → 05/2025
    Charles Schwab Bank, Ssb
    Mission Viejo, CA
  • 06/2025 → Present
    Jpmorgan Chase Bank, N.A.
    Irvine, CA
  • 06/2025 → Present
    J.P. Morgan Securities Llc
    Irvine, CA
Previous Registrations
  • 2022-01-26 → 2025-06-10
    Charles Schwab & Co., Inc.
    Mission Viejo, CA
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Annapolis, MD
    Mission Viejo, CA
    Mission Viejo, CA
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Annapolis, MD
    Columbia, MD
    Mission Viejo, CA
    Omaha, NE
  • 2017-02-13 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-13
S63 Uniform Securities Agent State Law Examination 2012-09-24
  • S66 Uniform Combined State Law Examination
    2017-02-13
  • S63 Uniform Securities Agent State Law Examination
    2012-09-24

View on SEC IAPD

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