Stephanie Hortencia Rosa Santos

J.P. Morgan Securities LLC

CRD 7029866

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Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
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

Organization	City	State	From	To
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

Code	Exam	Date
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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