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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 | 2018-07-30 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Palo Alto | CA | 08/2014 | 01/2017 |
| Morgan Stanley Private Bank, National Association | Houston | TX | 03/2017 | 07/2018 |
| Jp Morgan Securities, Llc | Houston | TX | 07/2018 | Present |
| Jp Morgan Chase Bank, N.A. | Houston | TX | 07/2018 | Present |
| Morgan Stanley | Houston | TX | 03/2017 | 07/2018 |
Entity Name: Cadre Investment related: No Address: Missouri City, TX 77459 https://cadre.com/ Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 06/01/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: They are a company that invests in real estate only on a private equity basis. I would like to invest in their fund. I will no authority to direct investments. Entity Name: Alumni Ventures Investment related: No Address: Missouri City, TX 77459 https://www.av.vc/ Nature of the other business: Investment Position/Title/Relationship: Owner/Partner Start Date: 06/01/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: They are a VC fund that invests in alumni of universities. In my case they will invest in Harvard graduates. I would like to invest in their Yard Ventures fund. I will no authority to direct investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-06 |
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