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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
MI RA APPROVED 2019-11-21
TX RA APPROVED 2019-09-20
IN RA APPROVED 2018-10-08
  • MI RA
    APPROVED
    Since 2019-11-21
  • TX RA
    APPROVED
    Since 2019-09-20
  • IN RA
    APPROVED
    Since 2018-10-08

Branch Locations

211 Concord Mall Drive, Elkhart, IN 46517 • United States

401 South Main Street, Goshen, IN 46526 • United States

1088 E Napier Avenue, Benton Harbor, MI 49022 • United States

1310 Hilltop Road, St. Joseph, MI 49085 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Elkhart IN 01/2016 11/2019
J.P. Morgan Chase Bank Goshen IN 01/2016 01/2017
Jpmorgan Chase Bank, N.A. Elkhart IN 01/2017 08/2019
Jpmorgan Chase Bank, N.A. Saint Joseph IN 08/2019 Present
J.P. Morgan Securities Llc Saint Joseph IN 11/2019 Present
Lrv Custom Painting Elkhart IN 06/2021 01/2025
  • 01/2016 → 11/2019
    Elkhart, IN
  • 01/2016 → 01/2017
    J.P. Morgan Chase Bank
    Goshen, IN
  • 01/2017 → 08/2019
    Jpmorgan Chase Bank, N.A.
    Elkhart, IN
  • 08/2019 → Present
    Jpmorgan Chase Bank, N.A.
    Saint Joseph, IN
  • 11/2019 → Present
    Saint Joseph, IN
  • 06/2021 → 01/2025
    Lrv Custom Painting
    Elkhart, IN
Other Businesses

Entity Name: Elkhart Community Church Investment related: Yes "Address: 418 W Franklin St. Elkhart, IN 46516 www.elkhart.church" Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 10/06/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Religious organization. Finance Committee Service - Help with accounting and financial reports. No similarities with my role, no connection to JPMC. They do not bank nor do business with JPMC"

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-05
S63 Uniform Securities Agent State Law Examination 2016-03-10
  • S66 Uniform Combined State Law Examination
    2018-10-05
  • S63 Uniform Securities Agent State Law Examination
    2016-03-10
Other Names
  • Hector Vargas
  • Hector C Vargas Forero
  • Hector Vargas Forero

View on SEC IAPD

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