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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2020-05-08
TX RA APPROVED 2020-05-08
  • KY RA
    APPROVED
    Since 2020-05-08
  • TX RA
    APPROVED
    Since 2020-05-08

Branch Locations

1785 Alexandria Dr., Lexington, KY 40504 • United States

201 East Main Street, Lexington, KY 40507 • United States

727 E. Euclid Avenue, Lexington, KY 40502 • 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
Jp Morgan Securities Llc Lexington KY 10/2011 01/2020
Jp Morgan Chase Bank, N.A. Lexington KY 10/2011 06/2018
Apiary Catering Lexington KY 12/2013 05/2024
Jp Morgan Chase Bank, N.A. Lexington KY 07/2018 01/2020
Jp Morgan Chase Bank, N.A. Lexington KY 02/2020 07/2020
Jpmorgan Chase Bank, N.A. Lexington KY 08/2020 Present
Jp Morgan Securities Llc Lexington KY 02/2020 Present
  • 10/2011 → 01/2020
    Lexington, KY
  • 10/2011 → 06/2018
    Jp Morgan Chase Bank, N.A.
    Lexington, KY
  • 12/2013 → 05/2024
    Apiary Catering
    Lexington, KY
  • 07/2018 → 01/2020
    Jp Morgan Chase Bank, N.A.
    Lexington, KY
  • 02/2020 → 07/2020
    Jp Morgan Chase Bank, N.A.
    Lexington, KY
  • 08/2020 → Present
    Jpmorgan Chase Bank, N.A.
    Lexington, KY
  • 02/2020 → Present
    Lexington, KY
Other Businesses

Entity Name: Lex Barrels & more Investment related: N "Address: 2945 Briggs Place Lexington, Ky 40511" Nature of the other business: Marketing Position/Title/Relationship: Owner/Partner Start Date: 06/28/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: My responsibilities are marketing products and selling them. Products include hand crafted, home made products out of used barrels.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-04
S63 Uniform Securities Agent State Law Examination 2012-12-07
  • S66 Uniform Combined State Law Examination
    2020-05-04
  • S63 Uniform Securities Agent State Law Examination
    2012-12-07
Other Names
  • Alva Marlene Esparza

View on SEC IAPD

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