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Stephen Warren Herbert

J.P. Morgan Securities LLC

Denver, CO

CRD 6440255

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-28
CO RA APPROVED 2023-02-16
  • TX RA
    APPROVED
    Since 2023-02-28
  • CO RA
    APPROVED
    Since 2023-02-16

Branch Locations

100 Detroit St, Denver, CO 80206 • 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
Wells Fargo Advisors, Llc Lakewood CO 01/2015 11/2016
Wells Fargo Bank, Na Lakewood CO 09/2011 02/2023
Wells Fargo Clearing Services, Llc Lakewood CO 01/2015 02/2023
J.P. Morgan Securities Llc Denver CO 02/2023 Present
Jpmorgan Chase Bank, N.A. Denver CO 02/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-04
  • S66 Uniform Combined State Law Examination
    2015-04-04

View on SEC IAPD

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EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
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