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James M Aarsen

J.P. Morgan Securities LLC

Houston, TX

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-02
  • TX RA
    APPROVED
    Since 2023-05-02

Branch Locations

600 Travis St Floors 61St & 62Nd, Houston, TX 77002-3009 • 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 Houston TX 07/2010 Present
Jpmorgan Chase Bank, N.A. Houston TX 07/2010 Present
Previous Registrations
  • 2006-02-24 → 2010-07-16
    Chase Investment Services Corp.
    Houston, TX
  • 2005-02-02 → 2006-01-31
    Morgan Stanley Dw Inc.
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-01
S66 Uniform Combined State Law Examination 2005-02-01
  • S65 Uniform Investment Adviser Law Examination
    2023-05-01
  • S66 Uniform Combined State Law Examination
    2005-02-01
Other Names
  • James Michael Aarsen

View on SEC IAPD

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