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Sergio Berumen

J.P. Morgan Securities LLC

Tempe, AZ

Plano, TX

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2022-06-16
TX RA APPROVED 2022-06-07
  • AZ RA
    APPROVED
    Since 2022-06-16
  • TX RA
    APPROVED
    Since 2022-06-07

Branch Locations

150 W University Drive, Tempe, AZ 85281 • United States

8181 Communications Pkwy Bldg A, Floor 04, Plano, TX 75024 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 01/2012 05/2022
Bank Of America, N.A. Chandler AZ 01/2012 05/2022
J.P. Morgan Securities, Llc Tempe AZ 05/2022 Present
Jpmorgan Chase Bank, N.A. Tempe AZ 05/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-03
  • S66 Uniform Combined State Law Examination
    2016-06-03
Other Names
  • Sergio Nunez Berumen

View on SEC IAPD

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