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Robert Ian Swallen

J.P. Morgan Securities LLC

Mt. Pleasant, SC

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2022-07-12
  • SC RA
    APPROVED
    Since 2022-07-12

Branch Locations

1825 N Highway 17, Mt. Pleasant, SC 29464 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank, N.A. Mount Pleasant SC 07/2014 06/2022
Wells Fargo Clearing Services, Llc Mount Pleasant SC 08/2021 06/2022
Jp Morgan Chase Bank, N.A. Mount Pleasant SC 06/2022 Present
Jp Morgan Securities, Llc Mount Pleasanton SC 06/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-10
  • S66 Uniform Combined State Law Examination
    2022-01-10
Other Names
  • Robert Swallen
  • Robert I Swallen
  • Ian Swallen

View on SEC IAPD

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