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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-01-17
KY RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2017-01-17
  • KY RA
    APPROVED
    Since 2012-10-01

Branch Locations

3368 Tates Creek Road, Lexington, KY 40502 • United States

4192 Tates Creek Centre Rd, Lexington, KY 40517 • 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
J.P. Morgan Securities Llc Lexington KY 10/2012 Present
3G & A, Llc Louisville KY 05/2005 Present
Jpmorgan Chase Bank, Na. Lexington KY 06/2009 Present
  • 10/2012 → Present
    Lexington, KY
  • 05/2005 → Present
    3G & A, Llc
    Louisville, KY
  • 06/2009 → Present
    Jpmorgan Chase Bank, Na.
    Lexington, KY
Previous Registrations
  • 2009-06-30 → 2012-10-01
    Chase Investment Services Corp.
    Lexington, KY
    Lexington, KY
    Lexington, KY
    Lexington, KY
  • 2007-01-05 → 2009-06-23
    Woodbury Financial Services, Inc.
    Louisville, KY
    Lexington, KY
    Lexington, KY
  • 2003-06-25 → 2007-01-31
    Ameriprise Advisor Services, Inc.
    Lexington, KY
  • 2003-04-09 → 2003-06-25
    Lexington, KY
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: 3G & A, LLC. POSITION: PARTIAL OWNER START DATE: 5/1/2005 ADDRESS: 907 Louisville, KY DETAILS: 7 ACRES OF VACANT LAND IN GEORGIA. HOURS DEDICATED (per month unless otherwise indicated): ZERO HOURS DURING TRADING: ZERO INVESTMENT RELATED: NO

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-22
S63 Uniform Securities Agent State Law Examination 1993-08-30
  • S65 Uniform Investment Adviser Law Examination
    2001-01-22
  • S63 Uniform Securities Agent State Law Examination
    1993-08-30
Other Names
  • Drew Gies
  • Leo Andrew Gies

View on SEC IAPD

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