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Nicholas Marshall Scott

J.P. Morgan Securities LLC

San Luis Obispo, CA

CRD 6552440

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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
CA RA APPROVED 2021-10-12
TX RA APPROVED 2021-10-12
  • CA RA
    APPROVED
    Since 2021-10-12
  • TX RA
    APPROVED
    Since 2021-10-12

Branch Locations

1235 Chorro Street, San Luis Obispo, CA 93401 • 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
Jp Morgan Securities Llc Morro Bay CA 08/2015 Present
Jpmorgan Chase Bank Morro Bay CA 08/2015 06/2017
Cuesta College San Luis Obispo CA 08/2006 Present
Jpmorgan Chase Bank, Na Morro Bay CA 06/2017 02/2018
Jpmorgan Chase Bank, Na Morro Bay CA 02/2018 08/2021
Jpmorgan Chase Bank, Na San Luis Obispo CA 09/2021 Present
  • 08/2015 → Present
    Jp Morgan Securities Llc
    Morro Bay, CA
  • 08/2015 → 06/2017
    Jpmorgan Chase Bank
    Morro Bay, CA
  • 08/2006 → Present
    Cuesta College
    San Luis Obispo, CA
  • 06/2017 → 02/2018
    Jpmorgan Chase Bank, Na
    Morro Bay, CA
  • 02/2018 → 08/2021
    Jpmorgan Chase Bank, Na
    Morro Bay, CA
  • 09/2021 → Present
    Jpmorgan Chase Bank, Na
    San Luis Obispo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-28
S63 Uniform Securities Agent State Law Examination 2015-10-06
  • S66 Uniform Combined State Law Examination
    2020-08-28
  • S63 Uniform Securities Agent State Law Examination
    2015-10-06
Other Names
  • Nicholas M Scott
  • Nicholas Scott

View on SEC IAPD

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Nearby Investors

JAY MICHAEL DOUGLAS
RALPH MICHAELS SLOCUM
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Nearby Offices

COMMONWEALTH FINANCIAL NETWORK · San Luis Obispo, CA
LPL FINANCIAL LLC · SAN LUIS OBISPO, CA
MML INVESTORS SERVICES, LLC · SAN LUIS OBISPO, CA

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