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Sean Pflum

J.P. Morgan Securities LLC

Noblesville, IN

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2018-09-10
TX RA APPROVED 2018-09-10
  • IN RA
    APPROVED
    Since 2018-09-10
  • TX RA
    APPROVED
    Since 2018-09-10

Branch Locations

14775 Sunny Dell Lane, Noblesville, IN 46062 • 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
Fidelity Brokerage Services Llc Covington KY 12/2012 08/2018
Fidelity Personal And Workplace Advisors Covington KY 07/2018 08/2018
Jpmorgan Chase Bank, N.A. Indianapolis IN 09/2018 Present
Jp Morgan Securities, Llc Indianapolis IN 09/2018 Present
Strategic Advisers Llc Covington KY 12/2013 07/2018
  • 12/2012 → 08/2018
    Fidelity Brokerage Services Llc
    Covington, KY
  • 07/2018 → 08/2018
    Fidelity Personal And Workplace Advisors
    Covington, KY
  • 09/2018 → Present
    Jpmorgan Chase Bank, N.A.
    Indianapolis, IN
  • 09/2018 → Present
    Jp Morgan Securities, Llc
    Indianapolis, IN
  • 12/2013 → 07/2018
    Strategic Advisers Llc
    Covington, KY
Previous Registrations
  • 2018-07-13 → 2018-09-19
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2013-12-04 → 2018-07-13
    Strategic Advisers Llc
    Covington, KY
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-26
S63 Uniform Securities Agent State Law Examination 2013-03-21
  • S66 Uniform Combined State Law Examination
    2013-11-26
  • S63 Uniform Securities Agent State Law Examination
    2013-03-21
Other Names
  • Sean Thomas Pflum
  • Sean T Pflum

View on SEC IAPD

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Other Offices

EDWARD JONES · NOBLESVILLE, IN
PNC WEALTH MANAGEMENT LLC · NOBLESVILLE, IN
KEY INVESTMENT SERVICES LLC · NOBLESVILLE, IN
J.P. MORGAN SECURITIES LLC · NOBLESVILLE, IN
PROSPERO FINANCIAL PLANNING, LLC · NOBLESVILLE, IN
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