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Marcos R Morales

J.P. Morgan Securities LLC

Austin, TX

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-10-01
  • TX RA
    APPROVED
    Since 2012-10-01

Branch Locations

9739 Great Hills Trail, Austin, TX 78759 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Austin TX 10/2012 05/2017
J.P. Morgan Securities Llc Austin TX 06/2017 Present
Previous Registrations
  • 2010-05-18 → 2012-10-01
    Chase Investment Services Corp.
    Austin, TX
  • 2006-11-02 → 2010-05-06
    Chase Investment Services Corp.
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-01
S63 Uniform Securities Agent State Law Examination 2005-04-05
  • S66 Uniform Combined State Law Examination
    2006-11-01
  • S63 Uniform Securities Agent State Law Examination
    2005-04-05
Designations
Other Names
  • Marcos R Morales
  • Marcos R Morales
  • Marcos Rodolfo Morales-Arazoza
  • Marcos R Morales-Arazoza

View on SEC IAPD

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