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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-10-13 |
| TX | RA | APPROVED_RES | 2022-09-30 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 09/2010 | 09/2022 |
| Bank Of America, N .A. | Phoenix | AZ | 09/2010 | 09/2022 |
| J.P. Morgan Securities Llc | Scottsdale | AZ | 09/2022 | Present |
| Jpmorgan Chase Bank, N.A. | Scottsdale | AZ | 09/2022 | Present |
| Penney Ventures Llc | Scottsdale | AZ | 10/2020 | Present |
| Michael Penney | Tempe | AZ | 08/2018 | Present |
Entity Name: Penney Ventures LLC Investment related: No Address: 7525 E 6th Ave Scottsdale AZ 85251 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 10/02/2020 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: This LLC exists for tax purposes of my 2 rental properties I*6593 For profit Name of outside business organization: Rental Property Investment related: Y Address of business: 322 E Embassy St Tempe, Arizona 85281 Nature of business: Rental Property, Position, title, association: Owner, Start date of relationship: 8/1/2018 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties: owner/landlord
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-23 |
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