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Carlos Guerrero

J.P. Morgan Securities LLC

San Dimas, 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 2024-04-03
TX RA APPROVED_RES 2024-04-03
  • CA RA
    APPROVED
    Since 2024-04-03
  • TX RA
    APPROVED_RES
    Since 2024-04-03

Branch Locations

1001 W Arrow Hwy, San Dimas, CA 91773 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Glendora CA 05/2016 03/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Glendora CA 05/2016 03/2024
J.P. Morgan Securities Llc San Dimas CA 04/2024 Present
Jpmorgan Chase Bank, N.A. San Dimas CA 04/2024 Present
Previous Registrations
  • 2016-05-17 → 2024-04-16
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Glendora, CA
    La Verne, CA
    Glendora, CA
    La Verne, CA
    La Verne, CA
    Claremont, CA
    La Verne, CA
    Glendora, CA
    Glendora, CA
    Glendora, CA
    West Covina, CA
    City Of Industry, CA
  • 2013-04-29 → 2016-05-23
    Edward Jones
    Fullerton, CA
    St Louis, MO
    Anaheim Hills, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-12
  • S66 Uniform Combined State Law Examination
    2013-04-12
Other Names
  • Carlos Robert Guerrero
  • Carlosrobert Guerrero
  • Carlos R Guerrero
  • Carlos Guerrero

View on SEC IAPD

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Other Offices

OSAIC WEALTH, INC. · SAN DIMAS, CA
COMMONWEALTH FINANCIAL NETWORK · San Dimas, CA
AMERIPRISE FINANCIAL SERVICES, LLC · San Dimas, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · SAN DIMAS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · San Dimas, CA
LPL FINANCIAL LLC · SAN DIMAS, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Glendora, CA
PLANMEMBER SECURITIES CORPORATION · SAN DIMAS, CA

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