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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_RES 2017-07-21
IL RA APPROVED 2015-10-16
  • TX RA
    APPROVED_RES
    Since 2017-07-21
  • IL RA
    APPROVED
    Since 2015-10-16

Branch Locations

2 E Euclid Ave, Prospect Heights, IL 60070 • 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 Securities Llc Palatine IL 10/2015 Present
Previous Registrations
  • 2011-11-22 → 2015-09-22
    Chicago, IL
  • 2010-01-06 → 2011-11-01
    Chase Investment Services Corp.
    Northbrook, IL
    Northbrook, IL
  • 2008-02-14 → 2010-01-11
    Vernon Hills, IL
Other Businesses

Entity Name: Rental home Investment related: Y Address: Arlington heights IL 60004 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 06/30/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I collect rent. I will have a property management company .

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-08
S63 Uniform Securities Agent State Law Examination 1995-09-19
  • S66 Uniform Combined State Law Examination
    2008-02-08
  • S63 Uniform Securities Agent State Law Examination
    1995-09-19
Other Names
  • Frederick G Lucas
  • Ric Lucas

View on SEC IAPD

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