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Douglas Nisen

J.P. Morgan Securities LLC

Oakland, CA

CRD 5607289

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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
TX RA APPROVED_RES 2013-09-25
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-25
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

5114 Broadway, Oakland, CA 94611 • 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
J.P. Morgan Securities Llc Concord CA 10/2012 02/2020
Jp Morgan Chase Bank Na Oakland Park CA 12/2011 11/2016
Jp Morgan Chase Bank Na Oakland Park CA 11/2016 02/2020
J.P. Morgan Securities Llc Oakland CA 02/2020 Present
Jpmorgan Chase Bank, N.A. Oakland CA 02/2020 Present
  • 10/2012 → 02/2020
    J.P. Morgan Securities Llc
    Concord, CA
  • 12/2011 → 11/2016
    Jp Morgan Chase Bank Na
    Oakland Park, CA
  • 11/2016 → 02/2020
    Jp Morgan Chase Bank Na
    Oakland Park, CA
  • 02/2020 → Present
    J.P. Morgan Securities Llc
    Oakland, CA
  • 02/2020 → Present
    Jpmorgan Chase Bank, N.A.
    Oakland, CA
Previous Registrations
  • 2010-09-28 → 2012-10-01
    Chase Investment Services Corp.
    Concord, CA
    Oakland, CA
  • 2009-08-14 → 2010-08-13
    Waddell & Reed
    Stockton, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-13
  • S66 Uniform Combined State Law Examination
    2009-08-13
Other Names
  • Douglas Nisen
  • Douglas Michael Nisen

View on SEC IAPD

Nearby Firms

INFINITY FINANCIAL SERVICES ADVISORY
CETERA INVESTMENT ADVISERS LLC
HOODOO

Nearby Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito

Nearby Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA

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