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Michael Rocha

J.P. Morgan Securities LLC

Los Angeles, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-06
  • CA RA
    APPROVED
    Since 2026-01-06

Branch Locations

1888 Century Park E, Los Angeles, CA 90067 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank, N.A. Los Angeles CA 03/2016 Present
Michael Rocha La Habra CA 09/2023 04/2024
J.P. Morgan Securities Llc Los Angeles CA 06/2025 Present
Jp Morgan Securities Llc Anaheim CA 03/2016 04/2024
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-08-26
S63 Uniform Securities Agent State Law Examination 2016-06-02
  • S65 Uniform Investment Adviser Law Examination
    2025-08-26
  • S63 Uniform Securities Agent State Law Examination
    2016-06-02
Other Names
  • Mike Rocha

View on SEC IAPD

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