Nicholas R. Esposito

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-08-21
CT	RA	APPROVED	2019-07-19

TX RA
APPROVED

Since 2020-08-21
CT RA
APPROVED

Since 2019-07-19

Branch Locations

111 W Putman Ave, Greenwich, CT 06830 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank	Greenwich	CT	07/2011	Present
Jpmorgan Securities Llc	Greenwich	CT	04/2014	Present

07/2011 → Present

Jpmorgan Chase Bank

Greenwich, CT
04/2014 → Present

Jpmorgan Securities Llc

Greenwich, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-07-12
S63	Uniform Securities Agent State Law Examination	2014-06-09

S66 Uniform Combined State Law Examination

2019-07-12
S63 Uniform Securities Agent State Law Examination

2014-06-09

Other Names

Nicholas R Esposito
Nicholas Ronald Esposito

View on SEC IAPD