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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-10-11
  • CT RA
    APPROVED
    Since 2023-10-11

Branch Locations

122 Main St, New Canaan, CT 06840 • 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
Hsbc Bank Usa, N.A. New York NY 02/2012 11/2018
Hsbc Securities (Usa) Inc. New York NY 02/2012 11/2018
Hsbc Securities (Usa) Inc. New York NY 02/2012 11/2017
Jpmorgan Chase Bank, N.A. New Canaan CT 11/2018 Present
J.P. Morgan Securities Llc New Canaan CT 11/2018 Present
  • 02/2012 → 11/2018
    Hsbc Bank Usa, N.A.
    New York, NY
  • 02/2012 → 11/2018
    Hsbc Securities (Usa) Inc.
    New York, NY
  • 02/2012 → 11/2017
    Hsbc Securities (Usa) Inc.
    New York, NY
  • 11/2018 → Present
    Jpmorgan Chase Bank, N.A.
    New Canaan, CT
  • 11/2018 → Present
    New Canaan, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-02
S63 Uniform Securities Agent State Law Examination 2016-05-24
  • S66 Uniform Combined State Law Examination
    2023-09-02
  • S63 Uniform Securities Agent State Law Examination
    2016-05-24

View on SEC IAPD

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