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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-01-31
TX RA APPROVED 2022-07-11
NY RA APPROVED 2022-07-01
  • NJ RA
    APPROVED
    Since 2024-01-31
  • TX RA
    APPROVED
    Since 2022-07-11
  • NY RA
    APPROVED
    Since 2022-07-01

Branch Locations

53 N. Beverwyck Rd., Lake Hiawatha, NJ 07034 • United States

16 Nassau Street, Princeton, NJ 08542 • 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
J.P. Morgan Securities Llc Livingston NJ 08/2016 05/2019
Jpmorgan Chase Bank, N.A. Livingston NJ 08/2016 05/2019
Raymond James & Associates, Inc. Morristown NJ 07/2019 06/2022
J.P. Morgan Securities Llc Lake Hiawatha NJ 06/2022 Present
Jpmorgan Chase Bank, N.A. Lake Hiawatha NJ 06/2022 Present
Unemployed Livingston NJ 06/2019 06/2019
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-30
S63 Uniform Securities Agent State Law Examination 2016-10-10
  • S66 Uniform Combined State Law Examination
    2020-11-30
  • S63 Uniform Securities Agent State Law Examination
    2016-10-10
Other Names
  • Rona Diao

View on SEC IAPD

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