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Sara Neil

J.P. Morgan Securities LLC

Phoenix, AZ

Columbus, OH

CRD 2600079

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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:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-01-19
NY RA APPROVED 2021-05-03
CO RA APPROVED 2020-09-11
TX RA APPROVED_RES 2014-06-25
AZ RA APPROVED 2012-10-01
  • OH RA
    APPROVED
    Since 2022-01-19
  • NY RA
    APPROVED
    Since 2021-05-03
  • CO RA
    APPROVED
    Since 2020-09-11
  • TX RA
    APPROVED_RES
    Since 2014-06-25
  • AZ RA
    APPROVED
    Since 2012-10-01

Branch Locations

2620 East Camelback Road, Phoenix, AZ 85016 • United States

1111 Polaris Parkway, Floor 3J, Columbus, OH 43240 • 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
Jp Morgan Securites Llc Phoenix AZ 01/2013 Present
  • 01/2013 → Present
    Jp Morgan Securites Llc
    Phoenix, AZ
Previous Registrations
  • 2010-10-04 → 2012-10-01
    Chase Investment Services Corp.
    Phoenix, AZ
  • 2009-10-23 → 2010-08-20
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Westlake Village, CA
    Oxnard, CA
    San Luis Obispo, CA
    Encino, CA
  • 2009-05-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Westlake Village, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-11
S63 Uniform Securities Agent State Law Examination 1995-08-18
  • S66 Uniform Combined State Law Examination
    2009-05-11
  • S63 Uniform Securities Agent State Law Examination
    1995-08-18
Other Names
  • Sara Katharine Neil

View on SEC IAPD

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