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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-05-01
TX RA APPROVED_RES 2024-04-29
  • MI RA
    APPROVED
    Since 2024-05-01
  • TX RA
    APPROVED_RES
    Since 2024-04-29

Branch Locations

480 Pierce St Floor 02, Birmingham, MI 48009 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Bloomfield Hills MI 03/2013 Present
J.P. Morgan Chase Bank, Na Birmingham MI 11/2016 Present
Kmc Educational Services Bloomfield Hills MI 10/2023 Present
  • 03/2013 → Present
    Bloomfield Hills, MI
  • 11/2016 → Present
    J.P. Morgan Chase Bank, Na
    Birmingham, MI
  • 10/2023 → Present
    Kmc Educational Services
    Bloomfield Hills, MI
Previous Registrations
  • 2011-02-09 → 2013-01-31
    Freedom One Investment Advisors, Inc.
    Clarkston, MI
Other Businesses

Entity Name: KMC Educational Services Investment related: No "Address: 43183 Woodward Ave Bloomfield Hills MI 48302" Nature of the other business: Education Position/Title/Relationship: Employee/Contractor Start Date: 10/01/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Tutoring service

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-04-26
S63 Uniform Securities Agent State Law Examination 2013-04-26
S66 Uniform Combined State Law Examination 2009-11-16
  • S65 Uniform Investment Adviser Law Examination
    2024-04-26
  • S63 Uniform Securities Agent State Law Examination
    2013-04-26
  • S66 Uniform Combined State Law Examination
    2009-11-16
Other Names
  • John Alexander Caldwell

View on SEC IAPD

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