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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 2019-03-18
IL RA APPROVED 2014-01-29
  • TX RA
    APPROVED_RES
    Since 2019-03-18
  • IL RA
    APPROVED
    Since 2014-01-29

Branch Locations

2801 Dundee Road, Northbrook, IL 60062 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Northbrook IL 01/2014 Present
Jpmorgan Chase Bank, N.A. Northbrook IL 01/2014 Present
Previous Registrations
  • 2013-04-05 → 2013-11-06
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2012-10-01 → 2013-04-03
    Bannockburn, IL
    Wheeling, IL
    Buffalo Grove, IL
    Buffalo Grove, IL
  • 2011-04-26 → 2012-10-01
    Chase Investment Services Corp.
    Wheeling, IL
    Bannockburn, IL
    Lake Bluff, IL
    Palatine, IL
    Buffalo Grove, IL
    Waukegan, IL
    Lake Bluff, IL
    Waukegan, IL
    Buffalo Grove, IL
    Riverwoods, IL
    Highland Park, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-25
S63 Uniform Securities Agent State Law Examination 2008-12-23
  • S65 Uniform Investment Adviser Law Examination
    2011-04-25
  • S63 Uniform Securities Agent State Law Examination
    2008-12-23

View on SEC IAPD

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