Best Investors Account Sign in

Claudia R. Morales-Herrera

J.P. Morgan Securities LLC

Philadelphia, PA

Philadelphia, PA

Claim This Profile
Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-19
PA RA APPROVED 2021-05-17
  • TX RA
    APPROVED_RES
    Since 2021-11-19
  • PA RA
    APPROVED
    Since 2021-05-17

Branch Locations

8527 Germantown Ave, Philadelphia, PA 19118 • United States

701 E Cathedral Rd, Ste 1, Philadelphia, PA 19128 • 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, Inc. Indian Wells CA 03/2014 02/2018
Td Ameritrade, Inc. Marlton NJ 02/2018 01/2021
Td Ameritrade Investment Management, Llc Marlton NJ 02/2018 12/2020
Unemployed Philadelphia PA 02/2021 03/2021
Jp Morgan Chase Bank, N.A. Philadelphia PA 04/2021 Present
J.P. Morgan Securities Llc Philadelphia PA 04/2021 Present
Scottrade Investment Management Indian Wells CA 03/2014 02/2018
  • 03/2014 → 02/2018
    Scottrade, Inc.
    Indian Wells, CA
  • 02/2018 → 01/2021
    Td Ameritrade, Inc.
    Marlton, NJ
  • 02/2018 → 12/2020
    Td Ameritrade Investment Management, Llc
    Marlton, NJ
  • 02/2021 → 03/2021
    Unemployed
    Philadelphia, PA
  • 04/2021 → Present
    Jp Morgan Chase Bank, N.A.
    Philadelphia, PA
  • 04/2021 → Present
    J.P. Morgan Securities Llc
    Philadelphia, PA
  • 03/2014 → 02/2018
    Scottrade Investment Management
    Indian Wells, CA
Previous Registrations
  • 2018-02-27 → 2021-01-11
    Td Ameritrade, Inc.
    Marlton, NJ
  • 2018-02-26 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Marlton, NJ
  • 2016-04-28 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2012-07-23 → 2014-01-07
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Indian Wells, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-19
  • S66 Uniform Combined State Law Examination
    2012-07-19
Other Names
  • Claudia Roxana Herrera
  • Claudia Roxana Morales-Herrera

View on SEC IAPD

Other Firms

GLENMEDE INVESTMENT MANAGEMENT, LP
CLARK CAPITAL MANAGEMENT GROUP INC
GLOBAL ADVISERS, LLC
BIOPHY CAPITAL MANAGEMENT LLC
VERITABLE FINANCIALS LLC
CHARLES SCHWAB & CO., INC.
MORGAN STANLEY
EAB INVESTMENT GROUP, LLC

Other Investors

JASON DOUGLAS PRIDE
SEAN EDWARD HERON
MICHAEL CRAVENS CROW
Adam Mark Conish
VICTOR TRAN
Eric Jason Richman
Mark Fleming
Christopher J Nixon

Other Offices

GLENMEDE INVESTMENT MANAGEMENT, LP · PHILADELPHIA, PA
CLARK CAPITAL MANAGEMENT GROUP INC · PHILADELPHIA, PA
GLOBAL ADVISERS, LLC · PHILADELPHIA, PA
BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA
VERITABLE FINANCIALS LLC · PHILADELPHIA, PA
CHARLES SCHWAB & CO., INC. · Philadelphia, PA
MORGAN STANLEY · Philadelphia, PA
J.P. MORGAN SECURITIES LLC · Philadelphia, PA

More in Philadelphia, PA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor