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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-11-21 |
| CA | RA | APPROVED | 2022-04-18 |
Branch Locations
2029 Century Park E Floor 39, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management, Inc. | Los Angeles | CA | 03/2018 | 04/2021 |
| First Republic Securities Company, Llc | Los Angeles | CA | 07/2018 | 04/2021 |
| Advanced Regulatory Compliance | Beverly Hills | CA | 01/2017 | 03/2018 |
| La Canada Unified School District | La Canada | CA | 11/2015 | 06/2017 |
| Jpmorgan Chase Bank, N.A. | Los Angeles | CA | 04/2022 | Present |
| J.P. Morgan Securities Llc | Los Angeles | CA | 04/2022 | Present |
| Windward Capital Management | Los Angeles | CA | 11/2021 | 12/2021 |
| Unemployed | La Canada | CA | 04/2021 | 10/2021 |
| Unemployed | La Canada | CA | 01/2022 | 03/2022 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-21 |
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