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Rick Groom

J.P. Morgan Securities LLC

Roslyn Heights, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-12-13
  • NY RA
    APPROVED
    Since 2022-12-13

Branch Locations

425 Glen Cove Rd., Roslyn Heights, NY 11577 • 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
Assetmark Financial, Inc. Concord CA 02/2014 02/2019
Assetmark Brokerage, Llc Concord CA 08/2014 12/2018
Unemployed Wantagh NY 03/2019 11/2019
Morningstar Investment Services Llc New York NY 12/2019 10/2022
J.P. Morgan Securities Llc East Hills NY 11/2022 Present
Jpmorgan Chase Bank, N.A. East Hills NY 11/2022 Present
Wsp Kings Hockey Club Llc Wantagh NY 04/2020 08/2024
  • 02/2014 → 02/2019
    Assetmark Financial, Inc.
    Concord, CA
  • 08/2014 → 12/2018
    Assetmark Brokerage, Llc
    Concord, CA
  • 03/2019 → 11/2019
    Unemployed
    Wantagh, NY
  • 12/2019 → 10/2022
    Morningstar Investment Services Llc
    New York, NY
  • 11/2022 → Present
    J.P. Morgan Securities Llc
    East Hills, NY
  • 11/2022 → Present
    Jpmorgan Chase Bank, N.A.
    East Hills, NY
  • 04/2020 → 08/2024
    Wsp Kings Hockey Club Llc
    Wantagh, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-08
S63 Uniform Securities Agent State Law Examination 2007-03-02
  • S66 Uniform Combined State Law Examination
    2022-12-08
  • S63 Uniform Securities Agent State Law Examination
    2007-03-02
Other Names
  • Rick Groom
  • Richard Ronald Groom
  • Richard Groom
  • Richard R Groom
  • Rick R Groom
  • Rick Ronald Groom
  • Richard R Groom
  • Richard Ronald Groom

View on SEC IAPD

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Other Investors

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Anthony Francis Mammano
CHRISTOPHER VOLBERG
JOHN RYAN
Sean Michael Paton
Noah Andrew Kowalewsky
ANTHONY G BIANCHI

Other Offices

HIGHLAND WEALTH ADVISORS, LLC · ROSLYN HEIGHTS, NY
PARK AVENUE SECURITIES LLC · ROSLYN, NY
CITIGROUP GLOBAL MARKETS INC. · ALBERTSON, NY
PRESCOTT, ADAMS AND GROUP INC. · ALBERTSON, NY
AMERITAS ADVISORY SERVICES, LLC · Roslyn Heights, NY
OSAIC WEALTH, INC. · ALBERTSON, NY
WELLS FARGO CLEARING SERVICES, LLC · GREENVALE, NY
J.P. MORGAN SECURITIES LLC · MANHASSET, NY

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