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Eric James Finch

J.P. Morgan Securities LLC

Irvine, CA

CRD 6508289

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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 2023-02-24
CA RA APPROVED 2022-12-01
  • TX RA
    APPROVED
    Since 2023-02-24
  • CA RA
    APPROVED
    Since 2022-12-01

Branch Locations

3 Park Plz Suite 700, Irvine, CA 92614 • 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
Goldman Sachs & Co. Los Angeles CA 07/2016 09/2017
Jpmorgan Chase Bank, N.A. Irvine CA 10/2017 Present
J.P. Morgan Securities Llc Irvine CA 10/2017 Present
  • 07/2016 → 09/2017
    Goldman Sachs & Co.
    Los Angeles, CA
  • 10/2017 → Present
    Jpmorgan Chase Bank, N.A.
    Irvine, CA
  • 10/2017 → Present
    J.P. Morgan Securities Llc
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-02-24
S66 Uniform Combined State Law Examination 2016-09-17
  • S65 Uniform Investment Adviser Law Examination
    2023-02-24
  • S66 Uniform Combined State Law Examination
    2016-09-17
Other Names
  • Eric Finch

View on SEC IAPD

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