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Stephanie Hortencia Rosa Santos

J.P. Morgan Securities LLC

New York, NY

New York, NY

New York, NY

New York, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-06-04
  • NY RA
    APPROVED
    Since 2024-06-04

Branch Locations

3515 Broadway, New York, NY 10031 • United States

3359 Broadway, New York, NY 10031 • United States

570 W 207Th St, New York, NY 10034 • United States

3940 Broadway, New York, NY 10032 • 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
J.P. Morgan Securities Llc New York NY 03/2017 Present
Jpmorgan Chase Bank, N.A. New York NY 03/2017 Present
Jpmorgan Chase Bank, N.A. New York NY 12/2015 03/2017
  • 03/2017 → Present
    J.P. Morgan Securities Llc
    New York, NY
  • 03/2017 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 12/2015 → 03/2017
    Jpmorgan Chase Bank, N.A.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-01-22
S63 Uniform Securities Agent State Law Examination 2019-01-25
  • S65 Uniform Investment Adviser Law Examination
    2024-01-22
  • S63 Uniform Securities Agent State Law Examination
    2019-01-25
Other Names
  • Stephanie Rosa Santos
  • Stephanie H Rosa Santos
  • Stephanie Rosa

View on SEC IAPD

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