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Cecilia Swain

J.P. Morgan Securities LLC

Walnut Creek, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
TX RA APPROVED_RES 2015-02-04
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED_RES
    Since 2015-02-04

Branch Locations

1390 S. Main Street, Floor 1, Walnut Creek, CA 94596 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Walnut Creek CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Walnut Creek CA 06/2025 Present
Previous Registrations
  • 2010-01-08 → 2012-10-01
    Chase Investment Services Corp.
    San Ramon, CA
    Concord, CA
    Concord, CA
    Walnut Creek, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-29
S63 Uniform Securities Agent State Law Examination 1994-01-14
  • S65 Uniform Investment Adviser Law Examination
    2009-12-29
  • S63 Uniform Securities Agent State Law Examination
    1994-01-14
Other Names
  • Cecilia Ann Swainjones
  • Cecilia Jones
  • Cecilia Ann Swain

View on SEC IAPD

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
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