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Monu Ahluwalia

J.P. Morgan Securities LLC

Pleasanton, CA

CRD 4913226

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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 2019-06-14
CA RA APPROVED 2018-01-08
  • TX RA
    APPROVED
    Since 2019-06-14
  • CA RA
    APPROVED
    Since 2018-01-08

Branch Locations

4747 Hopyard Rd, Ste E01, Pleasanton, CA 94588 • 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
Jp Morgan Chase Bank Na San Leandro CA 08/2009 02/2019
J.P. Morgan Securities Llc Pleasanton CA 02/2019 Present
Jpmorgan Chase Bank, N.A. Pleasanton CA 02/2019 Present
  • 08/2009 → 02/2019
    Jp Morgan Chase Bank Na
    San Leandro, CA
  • 02/2019 → Present
    J.P. Morgan Securities Llc
    Pleasanton, CA
  • 02/2019 → Present
    Jpmorgan Chase Bank, N.A.
    Pleasanton, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-29
S63 Uniform Securities Agent State Law Examination 2005-04-01
  • S66 Uniform Combined State Law Examination
    2017-12-29
  • S63 Uniform Securities Agent State Law Examination
    2005-04-01

View on SEC IAPD

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