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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-02 |
| NY | RA | APPROVED | 2025-10-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Maxwell Kates | New York | NY | 06/2018 | 08/2018 |
| Maxwell Kates | New York | NY | 06/2019 | 08/2019 |
| Unemployed | New York | NY | 09/2015 | 06/2018 |
| Unemployed | New York | NY | 08/2019 | 07/2020 |
| Unemployed | New York | NY | 08/2018 | 06/2019 |
| Oppenheimer & Co. Inc. | New York | NY | 07/2023 | 01/2024 |
| The Leaders Group Inc | Summit | NJ | 07/2025 | 09/2025 |
| Strategies For Wealth | New York | NY | 07/2020 | 06/2023 |
| Big Think Capital | New York | NY | 01/2024 | 09/2025 |
| J.P. Morgan Securities Llc | New York | NY | 09/2025 | Present |
| Jpmorgan Chase Bank, N.A. | New York | NY | 09/2025 | Present |
| New York Rhb Llc | New York | NY | 09/2020 | 12/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-01-19 |
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