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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 2018-12-21
  • TX RA
    APPROVED
    Since 2018-12-21

Branch Locations

100 Crescent Court 13Th Floor, Dallas, TX 75201 • United States

712 Main St 5Th Floor - South, Houston, TX 77002 • 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
Alliancebernstein Houston TX 12/2005 07/2018
Symphony Of Southeast Texas Beaumont TX 09/2004 Present
Jpmorgan Chase Bank, N.A. Houston TX 08/2018 Present
Jpmorgan Securities, Llc. Houston TX 10/2018 Present
  • 12/2005 → 07/2018
    Alliancebernstein
    Houston, TX
  • 09/2004 → Present
    Symphony Of Southeast Texas
    Beaumont, TX
  • 08/2018 → Present
    Jpmorgan Chase Bank, N.A.
    Houston, TX
  • 10/2018 → Present
    Jpmorgan Securities, Llc.
    Houston, TX
Other Businesses

Effective 8/1/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-20
S63 Uniform Securities Agent State Law Examination 2010-10-04
  • S66 Uniform Combined State Law Examination
    2018-12-20
  • S63 Uniform Securities Agent State Law Examination
    2010-10-04
Other Names
  • Karoline S Humphries

View on SEC IAPD

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