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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2024-05-21 |
| FL | RA | APPROVED | 2024-04-05 |
| TX | RA | APPROVED | 2023-06-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Td Ameritrade, Inc | Fort Worth | TX | 01/2013 | 10/2018 |
| Mercer Global Advisors Inc. | Houston | TX | 10/2018 | 01/2019 |
| Charles Schwab & Co., Inc. | Houston | TX | 04/2019 | 02/2023 |
| Charles Schwab Bank Ssb | Houston | TX | 04/2019 | 02/2023 |
| J.P. Morgan Securities Llc | Bellaire | TX | 06/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Bellaire | TX | 06/2023 | Present |
| Td Ameritrade Institutional | Fort Worth | TX | 01/2013 | 10/2018 |
| Unemployed | Houston | TX | 03/2023 | 05/2023 |
| Unemployed | Houston | TX | 02/2019 | 03/2019 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 2013-08-19 |
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