John T Smallwood

J.P. Morgan Securities LLC

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Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2024-03-29
TX	RA	APPROVED	2024-03-29

IL RA
APPROVED

Since 2024-03-29
TX RA
APPROVED

Since 2024-03-29

Branch Locations

10 S Dearborn St Floor 09, Chicago, IL 60603 • 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

Organization	City	State	From	To
U.S. Bank	Chicago	IL	09/2013	11/2020
U.S. Bancorp Investments, Inc.	Chicago	IL	09/2015	11/2020
Fidelity Brokerage Services Llc	Orland Park	IL	10/2020	03/2024
Jpmorgan Chase Bank Na	Chicago	IL	03/2024	Present
Jpmorgan Securities Llc	Chicago	IL	03/2024	Present

09/2013 → 11/2020

U.S. Bank

Chicago, IL
09/2015 → 11/2020

U.S. Bancorp Investments, Inc.

Chicago, IL
10/2020 → 03/2024

Fidelity Brokerage Services Llc

Orland Park, IL
03/2024 → Present

Jpmorgan Chase Bank Na

Chicago, IL
03/2024 → Present

Jpmorgan Securities Llc

Chicago, IL

Previous Registrations

2020-11-09 → 2024-03-08

Fidelity Personal And Workplace Advisors

Orland Park, IL
2020-02-21 → 2020-10-21

U.S. Bancorp Investments, Inc.

Chicago, IL

Chicago, IL

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-02-21
S63	Uniform Securities Agent State Law Examination	2005-09-19

S65 Uniform Investment Adviser Law Examination

2020-02-21
S63 Uniform Securities Agent State Law Examination

2005-09-19

Designations

Other Names

John Thomas Smallwood
John Thomas Smallwood
John Thomas Smallwood

View on SEC IAPD

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