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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-07-14 |
| NJ | RA | APPROVED | 2021-06-14 |
| NY | RA | APPROVED | 2021-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Princeton | NJ | 07/2009 | 02/2018 |
| Td Ameritrade, Inc. | New York | NY | 02/2018 | 05/2019 |
| Td Ameritrade Investment Management, Llc | New York | NY | 02/2018 | 05/2019 |
| Santander Bank, Na | New York | NY | 03/2020 | 04/2021 |
| Santander Securities, Llc | New York | NY | 03/2020 | 03/2021 |
| J.P. Morgan Securities Llc | New York | NY | 06/2021 | Present |
| Jpmorgan Chase Bank, N.A. | New York | NY | 06/2021 | Present |
| Scottrade Investment Management | Princeton | NJ | 02/2017 | 02/2018 |
| Unemployed | New York | NY | 05/2019 | 03/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-15 |
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