Douglas Fiek

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → 04/2017
  First Republic Securities Company Llc
  San Francisco, CA
• 01/2016 → 04/2017
  First Republic Investment Management Inc
  San Francisco, CA
• 04/2017 → 09/2023
  First Republic Securities Company, Llc
  San Francisco, CA
• 04/2017 → 09/2023
  First Republic Investment Management, Inc.
  San Francisco, CA
• 09/2023 → Present
  J.P. Morgan Securities Llc
  San Francisco, CA
• 10/2023 → Present
  Jpmorgan Chase Bank, N.A.
  San Francisco, CA

Previous Registrations

• 2016-01-07 → 2025-03-20
  J.P. Morgan Private Wealth Advisors Llc
  San Francisco, CA
  San Francisco, CA
• 2003-01-17 → 2016-02-02
  Credit Suisse Securities (Usa) Llc
  San Francisco, CA
  San Francisco, CA
• 1998-05-22 → 2003-01-17
  Pershing Llc
  San Francisco, CA

Other Businesses

Name: Carrera Joffe Foundation Investment-related: No Nature of the business: small foundation which donates about $200K a year of academic scholarships. Non-profit organization Role: Board Member and Treasurer Start Date: January 1, 2008 Description of duties: my role is to meet, interview, and then help select the beneficiaries Number of hours each month: 2 hours Number of hours during trading: 2 hours

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-01-27
• S63 Uniform Securities Agent State Law Examination
  1993-10-22

Other Names

• Douglas Paul Fiek