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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 2025-06-03
IN RA APPROVED 2023-01-04
  • TX RA
    APPROVED_RES
    Since 2025-06-03
  • IN RA
    APPROVED
    Since 2023-01-04

Branch Locations

2101 Chester Boulevard, Richmond, IN 47374 • United States

4400 East Main Street, Richmond, IN 47374 • 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 Chase Bank, N.A. Richmond IN 12/2008 Present
J.P. Morgan Securities Llc Richmond IN 10/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-25
S63 Uniform Securities Agent State Law Examination 2009-01-16
  • S66 Uniform Combined State Law Examination
    2022-04-25
  • S63 Uniform Securities Agent State Law Examination
    2009-01-16
Other Names
  • Tracy A Saunders

View on SEC IAPD

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