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Shawn F Marks

J.P. Morgan Securities LLC

Winnetka, IL

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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 2013-09-20
IL RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-20
  • IL RA
    APPROVED
    Since 2012-10-01

Branch Locations

791 Elm St, Winnetka, IL 60093 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Park Ridge, IL 10/2012 Present
Jpmorgan Chase Bank, N.A. Park Ridge IL 01/2003 Present
Previous Registrations
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
    Niles, IL
    Chicago, IL
    Chicago, IL
    Park Ridge, IL
    Chicago, IL
    Park Ridge, IL
    Park Ridge,, IL
    Chicago, IL
  • 2003-02-06 → 2005-07-06
    Banc One Securities Corporation
    Chicago, IL
  • 2001-07-03 → 2002-12-05
    Morgan Stanley Dw Inc.
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-12
S63 Uniform Securities Agent State Law Examination 1996-01-03
  • S65 Uniform Investment Adviser Law Examination
    1996-02-12
  • S63 Uniform Securities Agent State Law Examination
    1996-01-03
Other Names
  • Shawn Marks
  • Shawn Farrell Marks

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · Winnetka, IL
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