Best Investors Account Sign in

Judith B Richards

J.P. Morgan Securities LLC

Cincinnati, OH

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

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-16
OH RA APPROVED 2022-04-12
  • TX RA
    APPROVED
    Since 2022-11-16
  • OH RA
    APPROVED
    Since 2022-04-12

Branch Locations

8044 Montgomery Rd Floor 02, Cincinnati, OH 45236 • 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
Banc One Securities Cincinnati OH 08/2004 Present
J.P. Morgan Securities Llc Cincinnati OH 09/2006 Present
Jpmorgan Chase Bank, N.A. Cincinnati OH 01/2017 Present
  • 08/2004 → Present
    Banc One Securities
    Cincinnati, OH
  • 09/2006 → Present
    J.P. Morgan Securities Llc
    Cincinnati, OH
  • 01/2017 → Present
    Jpmorgan Chase Bank, N.A.
    Cincinnati, OH
Previous Registrations
  • 2006-09-27 → 2008-10-01
    J.P. Morgan Securities Inc.
    Cincinnati, OH
  • 2004-12-17 → 2006-09-27
    Banc One Securities Corporation
    Cincinnati, OH
    Chicago, IL
    Cincinnati, OH
  • 2003-06-30 → 2004-10-08
    Keybanc Capital Markets Inc.
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-11
S63 Uniform Securities Agent State Law Examination 1998-04-06
  • S65 Uniform Investment Adviser Law Examination
    2022-04-11
  • S63 Uniform Securities Agent State Law Examination
    1998-04-06
Other Names
  • Judith M Back
  • Judith Back Richards

View on SEC IAPD

Other Firms

QUEEN CITY CAPITAL MANAGEMENT, LLC
OSAIC WEALTH, INC.
BAHL & GAYNOR LLC
BRIXEY & MEYER CAPITAL LLC
OPUS CAPITAL MANAGEMENT
FORMIDABLE ASSET MANAGEMENT, LLC
RC CAPITAL
STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

More in Cincinnati, OH

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor