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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-03-03
  • CT RA
    APPROVED
    Since 2022-03-03

Branch Locations

1150 East Putnam Avenue, Riverside, CT 06878 • 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
Axa Advisors, Llc New York NY 07/2017 01/2018
Unemployed Stamford CT 06/2021 09/2021
Axa Advisors, Llc Stamford CT 04/2016 10/2016
Unemployed Ridgefield CT 11/2016 05/2017
Axa Advisors, Llc New York NY 06/2017 01/2018
Mml Investors Services, Llc New York NY 03/2018 12/2019
Massachusetts Mutual Life Insurance Company New York NY 03/2018 01/2020
Oppenheimer & Co., Inc Stamford CT 01/2020 06/2021
J.P. Morgan Securities Llc Bronx NY 10/2021 Present
Jpmorgan Chase Bank, N.A. Bronx NY 10/2021 Present
Fortis Lux Financial New York NY 03/2018 01/2020
Equitable Financial Life Insurance Co. Stamford CT 07/2017 01/2018
Unemployed New York NY 02/2018 02/2018
Moodhoot Llc Stamford CT 11/2022 Present
Tide Travelers Llc Stamford CT 03/2024 Present
  • 07/2017 → 01/2018
    Axa Advisors, Llc
    New York, NY
  • 06/2021 → 09/2021
    Unemployed
    Stamford, CT
  • 04/2016 → 10/2016
    Axa Advisors, Llc
    Stamford, CT
  • 11/2016 → 05/2017
    Unemployed
    Ridgefield, CT
  • 06/2017 → 01/2018
    Axa Advisors, Llc
    New York, NY
  • 03/2018 → 12/2019
    Mml Investors Services, Llc
    New York, NY
  • 03/2018 → 01/2020
    Massachusetts Mutual Life Insurance Company
    New York, NY
  • 01/2020 → 06/2021
    Stamford, CT
  • 10/2021 → Present
    Bronx, NY
  • 10/2021 → Present
    Jpmorgan Chase Bank, N.A.
    Bronx, NY
  • 03/2018 → 01/2020
    Fortis Lux Financial
    New York, NY
  • 07/2017 → 01/2018
    Equitable Financial Life Insurance Co.
    Stamford, CT
  • 02/2018 → 02/2018
    Unemployed
    New York, NY
  • 11/2022 → Present
    Moodhoot Llc
    Stamford, CT
  • 03/2024 → Present
    Tide Travelers Llc
    Stamford, CT
Previous Registrations
Other Businesses

Entity Name: TIDE TRAVELERS LLC Investment related: No "Address: Address 200 Broad St Apt 2418 Stamford, CT 06901 tidetravelers.com " Nature of the other business: E-Commerce Position/Title/Relationship: Owner/Partner Start Date: 03/23/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: This company will be similar to my other venture MOOD HOOT LLC where we will sell clothing with our brand and designs. - I am a member of this company (owner) - This roll has no similarities to my roll at Chase - There is no connection to JPMC and this company - This is meant to be a hobby outside of work" Entity Name: MOODHOOT LLC Investment related: No "Address: Address 200 Broad St Apt 2418 Stamford, CT 06901 moodhoot.com (not up and running at this time) registered the company name in April but looking to actually start within the next month!" Nature of the other business: E-commerce Position/Title/Relationship: Owner/Partner Start Date: 11/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Online retail store for apparel i.e. clothing, accessories, and stress relief related products. I am a co-founder along with my significant other. I will be overseeing the product selection for the sight. No relation to JPMC. No connection to JPMC. This is self funded. More of a hobby for weekends.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-30
  • S66 Uniform Combined State Law Examination
    2018-07-30
Other Names
  • Erick K Roche
  • Erick Koparan Roche
  • Erick Roche

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