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Sterling Austin Smith

J.P. Morgan Securities LLC

Colorado Springs, CO

Highlands Ranch, CO

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2023-11-08
CO RA APPROVED 2023-07-25
TX RA APPROVED 2023-07-25
  • ID RA
    APPROVED
    Since 2023-11-08
  • CO RA
    APPROVED
    Since 2023-07-25
  • TX RA
    APPROVED
    Since 2023-07-25

Branch Locations

4190 Austin Bluffs Pkwy, Flr 01, Colorado Springs, CO 80918 • United States

9350 S. Colorado Blvd., Highlands Ranch, CO 80126 • 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
Equitable Advisors, Llc San Antonio TX 07/2021 07/2021
Panera Bread Corvalliis OR 10/2019 08/2020
Washington Department Of Natural Resources Port Angeles WA 06/2019 09/2019
Home Depot Corvallis OR 09/2017 05/2018
Oregon Department Of Forestry Veneta OR 06/2017 09/2018
Lane County Public Works Eugene OR 06/2016 09/2016
Unemployed Veneta OR 09/2016 06/2017
Unemployed Philomath OR 10/2018 05/2019
Unemployed Philomath OR 09/2020 06/2021
Unemployed San Antonio TX 08/2021 10/2021
J.P. Morgan Securities Llc San Antonio TX 10/2021 Present
Jpmorgan Chase Bank, N.A. San Antonio TX 10/2021 Present
Unemployed San Antonio TX 06/2021 06/2021
  • 07/2021 → 07/2021
    Equitable Advisors, Llc
    San Antonio, TX
  • 10/2019 → 08/2020
    Panera Bread
    Corvalliis, OR
  • 06/2019 → 09/2019
    Washington Department Of Natural Resources
    Port Angeles, WA
  • 09/2017 → 05/2018
    Home Depot
    Corvallis, OR
  • 06/2017 → 09/2018
    Oregon Department Of Forestry
    Veneta, OR
  • 06/2016 → 09/2016
    Lane County Public Works
    Eugene, OR
  • 09/2016 → 06/2017
    Unemployed
    Veneta, OR
  • 10/2018 → 05/2019
    Unemployed
    Philomath, OR
  • 09/2020 → 06/2021
    Unemployed
    Philomath, OR
  • 08/2021 → 10/2021
    Unemployed
    San Antonio, TX
  • 10/2021 → Present
    J.P. Morgan Securities Llc
    San Antonio, TX
  • 10/2021 → Present
    Jpmorgan Chase Bank, N.A.
    San Antonio, TX
  • 06/2021 → 06/2021
    Unemployed
    San Antonio, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-25
S63 Uniform Securities Agent State Law Examination 2021-11-23
  • S66 Uniform Combined State Law Examination
    2023-07-25
  • S63 Uniform Securities Agent State Law Examination
    2021-11-23
Other Names
  • Austin Sterling Smith
  • Austin Smith
  • Sterling Austin Smith

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
OSAIC WEALTH, INC.

Other Investors

KARLA ROSS
TROY CARLSON
JUSTIN BACKSTROM
JANICA JOLI GILLETTE-BACKSTROM
GARY BACKSTROM
Nicholas Dorsett
Patrick Thomas Healy
Christopher Robert Dorsett

Other Offices

LPL FINANCIAL LLC · COLORADO SPRINGS, CO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COLORADO SPRINGS, CO
SEAMOUNT FINANCIAL GROUP INC · COLORADO SPRINGS, CO
UBS FINANCIAL SERVICES INC. · COLORADO SPRINGS, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLORADO SPRINGS, CO
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · COLORADO SPGS, CO
BENJAMIN F. EDWARDS & COMPANY, INC. · Colorado Springs, CO
OSAIC WEALTH, INC. · COLORADO SPRINGS, CO

More in Colorado Springs, CO

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