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Liam Roy

J.P. Morgan Securities LLC

New York, NY

CRD 7384277

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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 2023-08-28
TX RA APPROVED 2023-08-28
  • NY RA
    APPROVED
    Since 2023-08-28
  • TX RA
    APPROVED
    Since 2023-08-28

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 07/2023 Present
Jpmorgan Chase Bank, N.A. New York NY 07/2023 Present
Middlebury College Middlebury VT 09/2019 05/2023
Crestwood Lake Allendale NJ 06/2017 08/2020
Middlebury College Middlebury VT 12/2019 05/2023
Jp Morgan New York NY 06/2022 08/2022
Select Carriers Allendale NJ 03/2021 08/2021
Lincoln Financial Paramus NJ 06/2021 08/2021
Unemployed Allendale NJ 07/2013 05/2017
Unemployed Allendale NJ 06/2023 06/2023
  • 07/2023 → Present
    J.P. Morgan Securities Llc
    New York, NY
  • 07/2023 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 09/2019 → 05/2023
    Middlebury College
    Middlebury, VT
  • 06/2017 → 08/2020
    Crestwood Lake
    Allendale, NJ
  • 12/2019 → 05/2023
    Middlebury College
    Middlebury, VT
  • 06/2022 → 08/2022
    Jp Morgan
    New York, NY
  • 03/2021 → 08/2021
    Select Carriers
    Allendale, NJ
  • 06/2021 → 08/2021
    Lincoln Financial
    Paramus, NJ
  • 07/2013 → 05/2017
    Unemployed
    Allendale, NJ
  • 06/2023 → 06/2023
    Unemployed
    Allendale, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-26
  • S66 Uniform Combined State Law Examination
    2023-08-26
Other Names
  • Liam Joseph Roy

View on SEC IAPD

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