Rick Groom

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 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