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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-03 |
| TX | RA | APPROVED_RES | 2018-11-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 10/2014 | Present |
| Jpmorgan Chase Bank, N.A. | New York | NY | 08/2014 | Present |
| Grandview 32 Llc | Glen Rock | NJ | 02/2025 | Present |
| Rockseven Llc | Glen Rock | NJ | 03/2025 | Present |
Entity Name: RockSeven LLC Investment related: Yes "Address: 623 Lincoln Ave Glen Rock NJ 07452" Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 03/06/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: LLC created to facilitate real estate passive investments (Limited Partnerships, etc.). Not financial services related or public. I will be one of seven owners / partners. Entity Name: Grandview 32 LLC Investment related: Yes Address: Private Residence Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 02/28/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Creation of LLC to make personal real estate investment. No connection to JPMC clients, employees, etc. Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-15 |
| S65 | Uniform Investment Adviser Law Examination | 2002-07-22 |
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