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Mark Moroni

J.P. Morgan Securities LLC

Pasadena, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-05-04
TX RA APPROVED_RES 2023-05-04
  • CA RA
    APPROVED
    Since 2023-05-04
  • TX RA
    APPROVED_RES
    Since 2023-05-04

Branch Locations

201 S. Lake Ave Floor 7, Pasadena, CA 91101 • 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
Tesla San Mateo CA 03/2017 01/2018
Apple San Jose CA 09/2015 06/2017
Guardian Life Insurance Company San Ramon CA 01/2019 07/2020
Park Avenue Securities San Ramon CA 09/2018 07/2020
San Jose State Univeristy San Jose CA 08/2012 06/2017
Raymond James Financial Services, Inc Los Angeles CA 01/2021 07/2021
Raymond James Financial Services Advisors Los Angeles CA 01/2021 07/2021
Mainstream Capital Management Los Angeles CA 11/2020 03/2023
11Th Floor Holdings Los Angeles CA 12/2022 03/2023
Westpac Wealth Partners Los Angeles CA 07/2018 07/2020
San Jose State University San Jose CA 08/2020 05/2022
Unemployed San Mateo CA 02/2018 06/2018
Jpmorgan Chase Bank, N.A. Pasadena CA 04/2023 Present
J.P. Morgan Securities Llc Pasadena CA 04/2023 Present
  • 03/2017 → 01/2018
    Tesla
    San Mateo, CA
  • 09/2015 → 06/2017
    Apple
    San Jose, CA
  • 01/2019 → 07/2020
    Guardian Life Insurance Company
    San Ramon, CA
  • 09/2018 → 07/2020
    Park Avenue Securities
    San Ramon, CA
  • 08/2012 → 06/2017
    San Jose State Univeristy
    San Jose, CA
  • 01/2021 → 07/2021
    Raymond James Financial Services, Inc
    Los Angeles, CA
  • 01/2021 → 07/2021
    Raymond James Financial Services Advisors
    Los Angeles, CA
  • 11/2020 → 03/2023
    Mainstream Capital Management
    Los Angeles, CA
  • 12/2022 → 03/2023
    11Th Floor Holdings
    Los Angeles, CA
  • 07/2018 → 07/2020
    Westpac Wealth Partners
    Los Angeles, CA
  • 08/2020 → 05/2022
    San Jose State University
    San Jose, CA
  • 02/2018 → 06/2018
    Unemployed
    San Mateo, CA
  • 04/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Pasadena, CA
  • 04/2023 → Present
    J.P. Morgan Securities Llc
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-02
  • S66 Uniform Combined State Law Examination
    2019-02-02
Other Names
  • Mark Moroni
  • Mark Edward Moroni

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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