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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 | 2022-11-15 |
| CA | RA | APPROVED | 2021-10-25 |
Branch Locations
560 Mission St Floor 22, San Francisco, CA 94105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Bank Of Australia | New York | NY | 08/2014 | 06/2020 |
| Jpmorgan Chase Bank, N.A. | San Francisco | CA | 08/2021 | Present |
| J.P. Morgan Securities Llc | San Francisco | CA | 08/2021 | Present |
| Unemployed | San Francisco | CA | 07/2020 | 07/2021 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-25 |
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