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James Barrett

J.P. Morgan Securities LLC

Chicago, IL

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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 2018-10-10
IL RA APPROVED 2018-05-15
  • TX RA
    APPROVED_RES
    Since 2018-10-10
  • IL RA
    APPROVED
    Since 2018-05-15

Branch Locations

5831 N. Milwaukee Avenue, Chicago, IL 60646 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 04/2012 03/2018
Northwestern Mutual Investment Services, Llc Schaumberg IL 03/2012 03/2018
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 03/2018
Jpmorgan Chase Bank, Na. Chicago IL 05/2018 Present
J.P. Morgan Securities Llc Chicago IL 05/2018 Present
Self Employed Chicago IL 03/2018 05/2018
  • 04/2012 → 03/2018
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2012 → 03/2018
    Northwestern Mutual Investment Services, Llc
    Schaumberg, IL
  • 01/2016 → 03/2018
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 05/2018 → Present
    Jpmorgan Chase Bank, Na.
    Chicago, IL
  • 05/2018 → Present
    J.P. Morgan Securities Llc
    Chicago, IL
  • 03/2018 → 05/2018
    Self Employed
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-04
  • S66 Uniform Combined State Law Examination
    2013-03-04

View on SEC IAPD

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