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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-02-23 |
| TX | RA | APPROVED_RES | 2022-02-16 |
Branch Locations
370 S Cleveland Ave, Westerville, OH 43081 • United States
10 S Dearborn St, Floor 11, Chicago, IL 60603-2300 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tradestation Securities | Plantation | FL | 01/2005 | 01/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rolling Meadows | IL | 07/2017 | 12/2021 |
| Unemployed | Chicago | IL | 02/2017 | 06/2017 |
| Bank Of America, N.A. | Rolling Meadows | IL | 07/2017 | 12/2021 |
| J.P. Morgan Securities Llc | Chicago | IL | 01/2022 | Present |
| Jpmorgan Chase Bank, N.A. | Chicago | IL | 01/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-29 |
| S65 | Uniform Investment Adviser Law Examination | 2003-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-23 |
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