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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 | 2021-06-09 |
| NJ | RA | APPROVED | 2019-04-30 |
Branch Locations
10 North Village Ave., Rockville Centre, NY 11570 • United States
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 |
|---|---|---|---|---|
| Pruco Securities, Llc. | Melville | NY | 06/2012 | 04/2019 |
| The Prudential Insurance Company Of America | Melville | NY | 06/2012 | 04/2019 |
| Jp Morgan Securities, Llc | Rockville Centre | NY | 04/2019 | Present |
| Jpmorgan Chase Bank, N.A. | Rockville Centre | NY | 04/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-27 |
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