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James W. Rand

J.P. Morgan Securities LLC

Castle Rock, CO

CRD 4976681

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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
TX RA APPROVED_RES 2013-12-10
CO RA APPROVED 2013-11-08
  • TX RA
    APPROVED_RES
    Since 2013-12-10
  • CO RA
    APPROVED
    Since 2013-11-08

Branch Locations

1345 New Beale St, Unit 100, Castle Rock, CO 80108 • 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
Jpmorgan Securities Llc Highlands Ranch CO 11/2013 Present
  • 11/2013 → Present
    Jpmorgan Securities Llc
    Highlands Ranch, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-08
  • S66 Uniform Combined State Law Examination
    2005-10-08
Designations
  • Certified Financial Planner
Other Names
  • James Watson Rand
  • James Watson Rand

View on SEC IAPD

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