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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-03 |
| VT | RA | APPROVED | 2015-04-29 |
| ME | RA | APPROVED | 2015-04-28 |
| TX | RA | APPROVED_RES | 2013-09-20 |
| NJ | RA | APPROVED | 2012-10-01 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 10/2012 | Present |
| Jpmorgan Chase Bank, N.A. | New York | NY | 09/2004 | Present |
Entity Name: Estate of Bernice Rosenblum Investment related: N Address: New York, NY 10014 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 08/12/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Preliminary Executor Entity Name: Estate of Bernice Rosenblum Investment related: N "Address: 107 West 11th Street New York, NY 10011" Nature of the other business: Law Position/Title/Relationship: Employee/Contractor Start Date: 08/12/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Conduct the final affairs of Bernice Rosenblum.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-31 |
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