Catherine H Ferguson

J.P. Morgan Securities LLC

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Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-03-02
CA	RA	APPROVED	2023-03-01

AZ RA
APPROVED

Since 2023-03-02
CA RA
APPROVED

Since 2023-03-01

Branch Locations

12860 El Camino Real Floor 02, San Diego, CA 92130 • 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
Jpmorgan Securities Llc	Chicago	IL	07/2019	07/2022
Jpmorgan Chase Bank Na	Chicago	IL	07/2019	07/2022
Unemployed	New Orleans	LA	08/2018	07/2019
Jpmorgan Chase Bank Na	Chicago	IL	05/2018	08/2018
Unemployed	New Orleans	LA	08/2016	05/2018
Jp Morgan Chase Bank Na	San Diego	CA	07/2022	Present
Jpmorgan Securities Llc	San Diego	CA	07/2022	Present

07/2019 → 07/2022

Jpmorgan Securities Llc

Chicago, IL
07/2019 → 07/2022

Jpmorgan Chase Bank Na

Chicago, IL
08/2018 → 07/2019

Unemployed

New Orleans, LA
05/2018 → 08/2018

Jpmorgan Chase Bank Na

Chicago, IL
08/2016 → 05/2018

Unemployed

New Orleans, LA
07/2022 → Present

Jp Morgan Chase Bank Na

San Diego, CA
07/2022 → Present

Jpmorgan Securities Llc

San Diego, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-03-01
S63	Uniform Securities Agent State Law Examination	2019-10-07

S65 Uniform Investment Adviser Law Examination

2023-03-01
S63 Uniform Securities Agent State Law Examination

2019-10-07

Other Names

Catie Helene Houle
Catherine Helene Houle
Catherine Helene Houle
Catherine H Houle
Catie Houle

View on SEC IAPD

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