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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-03-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Charlotte | NC | 06/2021 | 01/2025 |
| Northwestern Mutual | Charlotte | NC | 03/2020 | 09/2020 |
| Hillcrest Foods Inc., Waffle House | Charlotte | NC | 07/2015 | 03/2020 |
| Fifth Third Securities, Inc | Charlotte | NC | 10/2023 | 02/2025 |
| J.P. Morgan Securities Llc | Charlotte | NC | 03/2025 | Present |
| Jpmorgan Chase Bank, N.A. | Charlotte | NC | 03/2025 | Present |
| Waffle House | Charlotte | NC | 05/2015 | 05/2021 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2024-03-04 |
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