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Joshua Mark Finkelstein

J.P. Morgan Securities LLC

Los Angeles, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-21
CA RA APPROVED 2021-08-09
  • TX RA
    APPROVED_RES
    Since 2022-11-21
  • CA RA
    APPROVED
    Since 2021-08-09

Branch Locations

1888 Century Park E, Floor 5, Los Angeles, CA 90067 • 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
Wells Fargo Advisors, Llc Beverly Hills CA 04/2015 11/2016
Wells Fargo Clearing Services, Llc Beverly Hills CA 11/2016 04/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 04/2017 08/2021
Bank Of America, N.A. Los Angeles CA 05/2017 08/2021
Jpmorgan Chase Bank, N.A. Los Angeles CA 08/2021 Present
J.P. Morgan Securities Llc Los Angeles CA 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-09
  • S66 Uniform Combined State Law Examination
    2012-03-09
Other Names
  • Joshua Mark Finkelstein
  • Joshua Finkelstein

View on SEC IAPD

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