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Katherine Elizabeth Brody

J.P. Morgan Securities LLC

Pasadena, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-25
TX RA APPROVED 2024-03-25
  • CA RA
    APPROVED
    Since 2024-03-25
  • TX RA
    APPROVED
    Since 2024-03-25

Branch Locations

201 S. Lake Ave Floor 7, Pasadena, CA 91101 • 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 Pasadena CA 08/2011 Present
Jpmorgan Chase Bank Na Los Angeles CA 08/2014 08/2017
Jpmorgan Chase Bank Na Pasadena CA 08/2017 Present
  • 08/2011 → Present
    Jpmorgan Securities Llc
    Pasadena, CA
  • 08/2014 → 08/2017
    Jpmorgan Chase Bank Na
    Los Angeles, CA
  • 08/2017 → Present
    Jpmorgan Chase Bank Na
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-03-25
S63 Uniform Securities Agent State Law Examination 2014-10-27
  • S65 Uniform Investment Adviser Law Examination
    2024-03-25
  • S63 Uniform Securities Agent State Law Examination
    2014-10-27
Other Names
  • Katie E Burns
  • Katherine E Burns
  • Katie E Brody

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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