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Maxwell Galbraith

J.P. Morgan Securities LLC

Irvine, CA

CRD 7136127

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2025-02-03
TX RA APPROVED_RES 2025-02-03
  • CA RA
    APPROVED
    Since 2025-02-03
  • TX RA
    APPROVED_RES
    Since 2025-02-03

Branch Locations

3 Park Plaza, Floor 3, Irvine, CA 92614 • 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
Muriel Siebert & Co., Inc Seal Beach CA 09/2019 01/2025
Unemployed Tustin CA 09/2018 08/2019
Unemployed Mission Viejo CA 01/2015 04/2018
Stockcross Financial Services Beverly Hills CA 05/2018 08/2018
J.P. Morgan Securities Llc Irvine CA 01/2025 Present
Jpmorgan Chase Bank, N.A. Irvine CA 01/2025 Present
  • 09/2019 → 01/2025
    Muriel Siebert & Co., Inc
    Seal Beach, CA
  • 09/2018 → 08/2019
    Unemployed
    Tustin, CA
  • 01/2015 → 04/2018
    Unemployed
    Mission Viejo, CA
  • 05/2018 → 08/2018
    Stockcross Financial Services
    Beverly Hills, CA
  • 01/2025 → Present
    J.P. Morgan Securities Llc
    Irvine, CA
  • 01/2025 → Present
    Jpmorgan Chase Bank, N.A.
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-10
  • S66 Uniform Combined State Law Examination
    2020-12-10

View on SEC IAPD

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Nearby Investors

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HAN CHEN
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Nearby Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA

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