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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 2022-03-16
OH RA APPROVED 2018-05-22
NJ RA APPROVED 2013-03-01
  • TX RA
    APPROVED
    Since 2022-03-16
  • OH RA
    APPROVED
    Since 2018-05-22
  • NJ RA
    APPROVED
    Since 2013-03-01

Branch Locations

1735 Market Street Suite 3110, Philadelphia, PA 19103 • United States

225 South Street 2Nd Floor, Morristown, NJ 07960 • 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
Jpmorgan Chase Bank, Na Florham Park NJ 03/2013 Present
J.P. Morgan Securities Llc Florham Park NJ 03/2013 Present
Previous Registrations
Other Businesses

Effective 6/15/2018 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
CodeExamDate
S66 Uniform Combined State Law Examination 1998-02-26
S63 Uniform Securities Agent State Law Examination 1994-02-18
  • S66 Uniform Combined State Law Examination
    1998-02-26
  • S63 Uniform Securities Agent State Law Examination
    1994-02-18
Designations
Other Names
  • Stephen E Rothe
  • Stephan Erno Rothe

View on SEC IAPD

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