Best Investors Account Sign in

Katherine A Gallardo

J.P. Morgan Securities LLC

Irvine, CA

Claim This Profile
Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-03
TX RA APPROVED 2023-10-03
  • CA RA
    APPROVED
    Since 2023-10-03
  • TX RA
    APPROVED
    Since 2023-10-03

Branch Locations

3 Park Plz Suite 700, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Laguna Niguel CA 06/2019 08/2023
Mufg Union Bank Irvine CA 01/2009 06/2019
Jpmorgan Chase Bank, Na Irvine CA 08/2023 Present
Jpmorgan Securities Llc Irvine CA 08/2023 Present
  • 06/2019 → 08/2023
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Laguna Niguel, CA
  • 01/2009 → 06/2019
    Mufg Union Bank
    Irvine, CA
  • 08/2023 → Present
    Jpmorgan Chase Bank, Na
    Irvine, CA
  • 08/2023 → Present
    Jpmorgan Securities Llc
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-03
S63 Uniform Securities Agent State Law Examination 2019-10-18
  • S65 Uniform Investment Adviser Law Examination
    2023-10-03
  • S63 Uniform Securities Agent State Law Examination
    2019-10-18
Other Names
  • Katherine Anne Estes
  • Kathy Anne Estes
  • Kathy Anne Gallardo
  • Kathy A. Estes
  • Katherine Estes
  • Katherine Gallardo
  • Katherine Anne Gallardo
  • Katherine A. Gallardo

View on SEC IAPD

Other Firms

VISTA POINT ASSET MANAGEMENT LLC
PRINCIPAL SECURITIES, INC.
GALLAGHER FIDUCIARY ADVISORS, LLC
EQUITABLE ADVISORS, LLC
INTEGRATED WEALTH CONCEPTS LLC
VANDERBILT ADVISORY SERVICES
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BENEFIT FINANCIAL SERVICES GROUP

Other Investors

ANH THICAM NGUYEN
HAN CHEN
Wade Allen Jones
Sylvia Yoonhee Ahn
Adam Jehad Salman
Charles Edward Gallagher
KAREN LOMAS
Arvind Mehta

Other Offices

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

More in Irvine, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor