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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
NY RA APPROVED 2023-05-08
TX RA APPROVED 2023-05-08
  • NY RA
    APPROVED
    Since 2023-05-08
  • TX RA
    APPROVED
    Since 2023-05-08

Branch Locations

270 Park Avenue 22Nd And 23Rd Floors, 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
Jpmorgan Chase Bank Na New York NY 09/2020 Present
Jpmorgan Securities Llc New York NY 09/2020 Present
Jpmorgan Chase Bank Na New York NY 06/2018 08/2018
Jpmorgan Chase Bank Na New York NY 07/2019 09/2020
Baruch College New York NY 05/2016 06/2019
Memorial Sloan Kettering Cancer Center New York NY 06/2017 05/2018
Baruch College New York NY 08/2015 05/2019
Wag Labs Inc New York NY 02/2017 Present
  • 09/2020 → Present
    Jpmorgan Chase Bank Na
    New York, NY
  • 09/2020 → Present
    Jpmorgan Securities Llc
    New York, NY
  • 06/2018 → 08/2018
    Jpmorgan Chase Bank Na
    New York, NY
  • 07/2019 → 09/2020
    Jpmorgan Chase Bank Na
    New York, NY
  • 05/2016 → 06/2019
    Baruch College
    New York, NY
  • 06/2017 → 05/2018
    Memorial Sloan Kettering Cancer Center
    New York, NY
  • 08/2015 → 05/2019
    Baruch College
    New York, NY
  • 02/2017 → Present
    Wag Labs Inc
    New York, NY
Other Businesses

Name: Wag Labs Not investment related Address: 8560 West Sunset Boulevard, Suite 100,West Hollywood, CA 90069 USA Position: Dog Walker Start Date: 02/25/2017 Number of hours a month: 0 Number of hours I devote during trading hours: 0 I am an independent contractor throu.gh which I have the ability to walk dogs if I like to

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-06
S63 Uniform Securities Agent State Law Examination 2020-12-14
  • S65 Uniform Investment Adviser Law Examination
    2023-05-06
  • S63 Uniform Securities Agent State Law Examination
    2020-12-14
Other Names
  • Dhruv Rao
  • Dhruv Rao Palepu

View on SEC IAPD

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