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James Rosato

J.P. Morgan Securities LLC

New York, NY

CRD 7220998

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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
TX RA APPROVED 2022-11-16
NY RA APPROVED 2021-10-19
  • TX RA
    APPROVED
    Since 2022-11-16
  • NY RA
    APPROVED
    Since 2021-10-19

Branch Locations

270 Park Avenue Floors 24 And 25, New York, NY 10017 • 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 New York NY 07/2021 Present
Jpmorgan Chase Bank, N.A. New York NY 07/2021 Present
Bank Of America New York NY 05/2020 08/2020
Marcus & Millichap New York NY 06/2019 08/2019
Fordham University New York NY 08/2017 05/2021
Unemployed Garden City NY 06/2021 06/2021
Unemployed Garden City NY 06/2011 07/2017
Merrill Lynch New York NY 08/2019 05/2020
  • 07/2021 → Present
    J.P. Morgan Securities Llc
    New York, NY
  • 07/2021 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 05/2020 → 08/2020
    Bank Of America
    New York, NY
  • 06/2019 → 08/2019
    Marcus & Millichap
    New York, NY
  • 08/2017 → 05/2021
    Fordham University
    New York, NY
  • 06/2021 → 06/2021
    Unemployed
    Garden City, NY
  • 06/2011 → 07/2017
    Unemployed
    Garden City, NY
  • 08/2019 → 05/2020
    Merrill Lynch
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-19
  • S66 Uniform Combined State Law Examination
    2021-10-19
Other Names
  • James F Rosato
  • James Francis Rosato

View on SEC IAPD

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