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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 2019-08-29
IL RA APPROVED 2019-07-08
  • TX RA
    APPROVED
    Since 2019-08-29
  • IL RA
    APPROVED
    Since 2019-07-08

Branch Locations

727 Roosevelt Road, Glen Ellyn, IL 60137 • 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
J.P. Morgan Securities Llc Glen Ellyn IL 10/2012 Present
Jpmorgan Chase Bank, N.A. Glen Ellyn IL 02/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-29
S63 Uniform Securities Agent State Law Examination 2012-11-28
  • S66 Uniform Combined State Law Examination
    2019-06-29
  • S63 Uniform Securities Agent State Law Examination
    2012-11-28
Other Names
  • Natalie Mariana Barraza

View on SEC IAPD

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