Aalok Patel

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2018 → 09/2020
  Td Ameritrade, Inc.
  Sugarland, TX
• 02/2018 → 09/2020
  Td Ameritrade Investment Management, Llc
  Sugarland, TX
• 02/2017 → 02/2018
  Scottrade Investment Management
  Sugarland, TX
• 07/2014 → 02/2018
  Scottrade, Inc.
  Sugarland, TX
• 09/2020 → 10/2021
  Jpmorgan Chase Bank, N.A.
  Katy, TX
• 09/2020 → 10/2021
  J.P. Morgan Securities Llc
  Katy, TX
• 10/2021 → 01/2024
  Morgan Stanley/E*Trade Securities Llc/E*Trade Capital Mngmt, Llc
  Houston, TX
• 03/2023 → 01/2024
  Morgan Stanley
  Houston, TX
• 01/2024 → Present
  J.P. Morgan Securities Llc
  Houston, TX
• 01/2024 → Present
  Jpmorgan Chase Bank, N.A.
  Houston, TX
• 02/2018 → 09/2020
  Td Ameritrade
  Sugarland, TX
• 07/2014 → 02/2017
  Scottrade
  Sugarland, TX

Previous Registrations

• 2023-09-05 → 2024-01-19
  Morgan Stanley
  Houston, TX
• 2021-11-02 → 2023-09-05
  Harrisdirect Llc
  Houston, TX
  Houston, TX
  Arlington, VA
• 2020-09-29 → 2021-10-20
  J.P. Morgan Securities Llc
  Houston, TX
  Houston, TX
  Katy, TX
• 2018-02-27 → 2020-09-14
  Td Ameritrade, Inc.
  Sugarland, TX
• 2018-02-26 → 2020-09-14
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Sugarland, TX
• 2017-04-13 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2017-04-13
• S63 Uniform Securities Agent State Law Examination
  2011-10-11

Other Names

• Aalok D Patel