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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-12-22
TX RA APPROVED 2025-12-22
  • NY RA
    APPROVED
    Since 2025-12-22
  • TX RA
    APPROVED
    Since 2025-12-22

Branch Locations

50 Rowes Wharf, Boston, MA 02110 • United States

390 Madison Avenue Floor 29, New York, NY 10017 • 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 Securities Llc New York NY 05/2014 Present
Jpmorgan Chase Bank Na New York NY 01/2017 Present
  • 05/2014 → Present
    Jpmorgan Securities Llc
    New York, NY
  • 01/2017 → Present
    Jpmorgan Chase Bank Na
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-22
S63 Uniform Securities Agent State Law Examination 1994-08-11
  • S66 Uniform Combined State Law Examination
    2025-12-22
  • S63 Uniform Securities Agent State Law Examination
    1994-08-11
Other Names
  • Rick Marquez

View on SEC IAPD

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