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Riya Mukul Shah

J.P. Morgan Securities LLC

Chicago, IL

CRD 7393963

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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
IL RA APPROVED 2023-09-02
TX RA APPROVED 2023-09-02
  • IL RA
    APPROVED
    Since 2023-09-02
  • TX RA
    APPROVED
    Since 2023-09-02

Branch Locations

10 S Dearborn St Floor 09, Chicago, IL 60603 • 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 Chicago IL 07/2023 Present
University Of Notre Dame Notre Dame IN 08/2019 05/2023
Jp Morgan Chicago IL 06/2022 08/2022
American Eagle Louisville KY 06/2021 04/2022
University Of Notre Dame Notre Dame IN 01/2021 12/2021
Lifetime Wealth Strategies Louisville KY 06/2021 08/2021
Doordash Louisville KY 05/2020 12/2020
Unemployed Louisville KY 07/2013 07/2019
Unemployed Louisville KY 06/2023 06/2023
Jpmorgan Chase Bank, N.A. Chicago IL 07/2023 Present
  • 07/2023 → Present
    J.P. Morgan Securities Llc
    Chicago, IL
  • 08/2019 → 05/2023
    University Of Notre Dame
    Notre Dame, IN
  • 06/2022 → 08/2022
    Jp Morgan
    Chicago, IL
  • 06/2021 → 04/2022
    American Eagle
    Louisville, KY
  • 01/2021 → 12/2021
    University Of Notre Dame
    Notre Dame, IN
  • 06/2021 → 08/2021
    Lifetime Wealth Strategies
    Louisville, KY
  • 05/2020 → 12/2020
    Doordash
    Louisville, KY
  • 07/2013 → 07/2019
    Unemployed
    Louisville, KY
  • 06/2023 → 06/2023
    Unemployed
    Louisville, KY
  • 07/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-02
  • S66 Uniform Combined State Law Examination
    2023-09-02
Other Names
  • Riya Shah

View on SEC IAPD

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