Vivek Mahajan

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

• 01/2010 → 01/2019
  Ubs Financial Services Inc
  New York, NY
• 01/2019 → Present
  Jpmorgan Chase Bank, N.A.
  New York, NY
• 01/2019 → Present
  Jpmorgan Securities, Llc.
  New York, NY
• 01/2007 → Present
  42 Willow Place Llc
  Brooklyn, NY
• 10/2014 → Present
  115 Fort Greene Place
  Brooklyn, NY
• 02/2018 → Present
  59 S. Elliot Pl Llc
  Brooklyn, NY

Previous Registrations

• 2007-05-29 → 2010-01-27
  Citigroup Global Markets Inc.
  Brooklyn, NY
  Long Island City, NY
  Greenwich, CT
  Brooklyn, NY
• 2004-12-07 → 2007-05-29
  Citicorp Investment Services
  Brooklyn, NY
  Brooklyn, NY

Other Businesses

Entity Name: 388 clinton ave llc Investment related: Y Address: Brooklyn, NY Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 03/01/2020 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: member of llc own investment property Entity Name: 215 clermont avenue, llc Investment related: Y Address: Brooklyn, NY Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 03/01/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: member of llc owns rental property Entity Name: 59 s. elliott pl llc Investment related: Yes Address: 59 Brooklyn, ny Nature of the other business: real estate rental Position/Title/Relationship: Partial Owner Start Date: 01-Feb-2018 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: partial owner of llc Entity Name: 115 fort greene place Investment related: Yes Address: 115 Brooklyn, ny Nature of the other business: real estate rental Position/Title/Relationship: Owner Start Date: 01-Oct-2014 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: owner of llc Entity Name: 42 willow place llc Investment related: Yes Address: 42 Brooklyn ny Nature of the other business: Rental property Position/Title/Relationship: Partial Owner Start Date: 01-Jan-2007 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: partial owner of llc Effective 1/18/2019 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams

• S66 Uniform Combined State Law Examination
  2021-08-31
• S65 Uniform Investment Adviser Law Examination
  2004-10-11
• S63 Uniform Securities Agent State Law Examination
  1995-07-10