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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-06-11
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2014-06-11
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

2770 Via De La Valle Ln, Floor 01, Del Mar, CA 92014 • 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
J.P. Morgan Securities Llc Del Mar CA 10/2012 Present
Previous Registrations
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Adelanto, CA
    Apple Valley, CA
    Bishop, CA
    Apple Valley,, CA
    Barstow, CA
    Hesperia, CA
    Victorville, CA
    Victorville, CA
    San Diego, CA
    Pasadena, CA
    Alhambra, CA
    Long Beach, CA
    Arcadia, CA
    San Marino, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Montebello, CA
    Los Angeles, CA
    San Pedro, CA
    Upland, CA
    San Diego, CA
    Chula Vista, CA
    El Cajon, CA
    La Jolla, CA
    Adelanto, CA
    Rancho Mirage, CA
    Fullerton, CA
    Fontana, CA
    Chino Hills, CA
    Palm Springs, CA
    Escondido, CA
    Escondido, CA
    Hemet, CA
    Murrieta, CA
    Oceanside, CA
    Oceanside, CA
    Oceanside, CA
    Poway, CA
    Ramona, CA
    Vista, CA
    Riverside, CA
    Corona, CA
    Encinitas, CA
    Fallbrook, CA
    Norco, CA
    San Diego, CA
    San Jacinto, CA
    San Diego, CA
    Solana Beach, CA
    Sun City, CA
    Temecula, CA
    Montclair, CA
    Carlsbad, CA
    Escondido, CA
    Escondido, CA
    Carlsbad, CA
    Oceanside, CA
    Riverside, CA
    Riverside, CA
    San Marcos, CA
    Rancho Santa Fe, CA
    Hemet, CA
    Lake Elsinore, CA
    San Diego, CA
    Carlsbad, CA
    San Diego, CA
    San Marcos, CA
    Temecula, CA
    Vista, CA
    San Diego, CA
    Del Mar, CA
    San Diego, CA
    Riverside, CA
    Riverside, CA
    Temecula, CA
    San Diego, CA
    Carlsbad, CA
    Corona, CA
    Winchester, CA
    Lake Elsinore, CA
    San Diego, CA
    Wildomar, CA
    Carlsbad, CA
    Riverside, CA
    Chula Vista, CA
    Chula Vista, CA
    Coronado, CA
    Bonita, CA
    Chula Vista, CA
    Chula Vista, CA
    San Diego, CA
    Imperial Beach, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Chula Vista, CA
    San Diego, CA
    San Diego, CA
    Vista, CA
    San Diego, CA
    San Diego, CA
    San Ysidro, CA
    Spring Valley, CA
    National City, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Escondido, CA
    South Pasadena, CA
    Los Angeles, CA
    Torrance, CA
    Duarte, CA
    Altadena, CA
    Los Angeles, CA
    Los Angeles, CA
    Alhambra, CA
    Montrose, CA
    Lynwood, CA
    Torrance, CA
    Los Angeles, CA
    Bell, CA
    Pasadena, CA
    Carson, CA
    Los Angeles, CA
    Torrance, CA
    South Gate, CA
    Pasadena, CA
    Redondo Beach, CA
    Temple City, CA
    Rolling Hills, CA
    Torrance, CA
    Arcadia, CA
    Sierra Madre, CA
    San Pedro, CA
    Long Beach, CA
    San Gabriel, CA
    Temple City, CA
    Torrance, CA
    Carson, CA
    Los Angeles, CA
    La Canada, CA
    Malibu, CA
    Los Angeles, CA
    Monrovia, CA
    Cathedral City, CA
    Highland, CA
    Moreno Valley, CA
    Palm Desert, CA
    Banning, CA
    Brea, CA
    Chino Hills, CA
    West Covina, CA
    Desert Hot Springs, CA
    Chino, CA
    Montclair, CA
    Moreno Valley, CA
    Rancho Mirage, CA
    San Bernardino, CA
    Azusa, CA
    Claremont, CA
    Diamond Bar, CA
    Rancho Cucamonga, CA
    Redlands, CA
    Palm Springs, CA
    Ontario, CA
    Hacienda Heights, CA
    La Habra, CA
    La Puente, CA
    La Quinta, CA
    La Verne, CA
    Eastvale, CA
    Rancho Cucamonga, CA
    Whittier, CA
    San Dimas, CA
    Rialto, CA
    Upland, CA
    Whittier, CA
    Anaheim Hills, CA
    Diamond Bar, CA
    Fontana, CA
    La Mirada, CA
    Yucca Valley, CA
    San Bernardino, CA
    Yorba Linda, CA
    Chino Hills, CA
    Covina, CA
    Indio, CA
    Moreno Valley, CA
    Palm Desert, CA
    San Bernardino, CA
    Yucaipa, CA
    Baldwin Park, CA
    Beaumont, CA
    Brea, CA
    Calimesa, CA
    Chino, CA
    Fontana, CA
    Fontana, CA
    Glendora, CA
    Highland, CA
    Pomona, CA
    Upland, CA
    West Covina, CA
    Santa Fe Springs, CA
    Fontana, CA
    Beaumont, CA
    San Jacinto, CA
    Escondido, CA
    Rancho Mirage, CA
    La Quinta, CA
    Lake Elsinore, CA
    Indio, CA
    Desert Hot Springs, CA
    Temecula, CA
    Yucaipa, CA
    Escondido, CA
    Palm Desert, CA
    Palm Springs, CA
    Hemet, CA
    Lake Elsinore, CA
    Murrieta, CA
    Hemet, CA
    Yucca Valley, CA
    Escondido, CA
    Escondido, CA
    Escondido, CA
    San Marcos, CA
    Winchester, CA
    Cathedral City, CA
    Palm Springs, CA
    Temecula, CA
    San Jacinto, CA
    Palm Desert, CA
    Sun City, CA
    Temecula, CA
    Rancho Mirage, CA
    San Marcos, CA
    Murrieta, CA
    Calimesa, CA
    Banning, CA
    Wildomar, CA
    Upland, CA
    Temecula, CA
    Laguna Hills, CA
    Huntington Beach, CA
    Foothill Ranch, CA
    Mission Viejo, CA
    San Clemente, CA
    Laguna Hills, CA
    Irvine, CA
    Orange, CA
    Westminster, CA
    Irvine, CA
    Laguna Niguel, CA
    Santa Ana, CA
    Aliso Viejo, CA
    Laguna Niguel, CA
    Costa Mesa, CA
    Orange, CA
    Santa Ana, CA
    Mission Viejo, CA
    Lake Forest, CA
    Santa Ana, CA
    Mission Viejo, CA
    Lake Forest, CA
    Dana Point, CA
    Santa Ana, CA
    Anaheim, CA
    Ladera Ranch, CA
    Irvine, CA
    Mission Viejo, CA
    Irvine, CA
    San Clemente, CA
    Irvine, CA
    Huntington Beach, CA
    Newport Beach, CA
    Tustin, CA
    Orange, CA
    Costa Mesa, CA
    Huntington Beach, CA
    Garden Grove, CA
    Fountain Valley, CA
    Irvine, CA
    Rancho Santa Margarita, CA
    San Juan Capistrano, CA
    Costa Mesa, CA
    Irvine, CA
    Chula Vista, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Spring Valley, CA
    San Diego, CA
    San Diego, CA
    Chula Vista, CA
    El Cajon, CA
    La Mesa, CA
    Imperial Beach, CA
    La Mesa, CA
    Lakeside, CA
    El Cajon, CA
    San Diego, CA
    San Diego, CA
    Chula Vista, CA
    El Centro, CA
    San Diego, CA
    Santee, CA
    Alpine, CA
    Calexico, CA
    Chula Vista, CA
    Coronado, CA
    National City, CA
    San Diego, CA
    Bonita, CA
    Chula Vista, CA
    Chula Vista, CA
    Chula Vista, CA
    Chula Vista, CA
    San Diego, CA
    El Cajon, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Ysidro, CA
    Torrance, CA
    Long Beach, CA
    Monterey Park, CA
    Los Angeles, CA
    El Monte, CA
    Palos Verdes, CA
    Chino, CA
    Moreno Valley, CA
    Corona, CA
    Riverside, CA
    Norco, CA
    Fontana, CA
    Chino, CA
    Ontario, CA
    Highland, CA
    Chino Hills, CA
    Moreno Valley, CA
    Eastvale, CA
    Riverside, CA
    Redlands, CA
    Chino Hills, CA
    Fontana, CA
    Fontana, CA
    Eastvale, CA
    Rialto, CA
    Rancho Cucamonga, CA
    Moreno Valley, CA
    Riverside, CA
    Riverside, CA
    Highland, CA
    Redlands,, CA
    Pomona, CA
    Corona, CA
    Moreno Valley, CA
    Riverside, CA
    Fontana, CA
    San Bernardino, CA
    Montclair, CA
    Chino Hills, CA
    San Bernardino, CA
    San Bernardino, CA
    Upland, CA
    Rancho Cucamonga, CA
    Riverside, CA
    San Diego, CA
    El Cajon, CA
    El Cajon, CA
    Chula Vista, CA
  • 2004-06-24 → 2009-05-02
    Wamu Investments, Inc.
    Hawthorne, CA
    Venice, CA
    Los Angeles, CA
    Manhattan Beach, CA
    Palos Verdes, CA
    Redondo Beach, CA
    Santa Monica, CA
    Torrance, CA
    Santa Monica, CA
    Los Angeles, CA
    Culver City, CA
    El Segundo, CA
    Gardena, CA
    Torrance, CA
    Long Beach, CA
    Long Beach, CA
    Long Beach, CA
    Long Beach, CA
    Los Angeles, CA
    Pacific Palisades, CA
    Culver City, CA
    Rolling Hills, CA
    El Segundo, CA
    San Pedro, CA
    Santa Monica, CA
    Torrance, CA
    Torrance, CA
    Long Beach, CA
    Manhattan Beach, CA
    Marina Del Rey, CA
    Henderson, NV
    Henderson, NV
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Henderson, NV
    Las Vegas, NV
    Los Angeles, CA
    Torrance, CA
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    North Las Vegas, NV
    North Las Vegas, NV
    North Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Carson, CA
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Glendale Heights, IL
    Los Angeles, CA
    Los Gatos, CA
    San Pedro, CA
    Las Vegas, NV
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Rancho Santa Margarita, CA
    Long Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-25
S63 Uniform Securities Agent State Law Examination 1992-11-17
  • S65 Uniform Investment Adviser Law Examination
    1999-01-25
  • S63 Uniform Securities Agent State Law Examination
    1992-11-17
Other Names
  • Phillip Jeffery Kaplan

View on SEC IAPD

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