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Joseph Abraham Garcia

J.P. Morgan Securities LLC

Las Vegas, NV

CRD 5741305

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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:

Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-07-02
NV RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2020-07-02
  • NV RA
    APPROVED
    Since 2012-10-01

Branch Locations

8565 W Warm Springs Rd, Las Vegas, NV 89113 • 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 Securities Llc Las Vegas NV 03/2014 Present
  • 03/2014 → Present
    Jpmorgan Securities Llc
    Las Vegas, NV
Previous Registrations
  • 2011-12-20 → 2012-10-01
    Chase Investment Services Corp.
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-17
S63 Uniform Securities Agent State Law Examination 2010-01-12
  • S65 Uniform Investment Adviser Law Examination
    2011-12-17
  • S63 Uniform Securities Agent State Law Examination
    2010-01-12
Other Names
  • Joseph A Garcia

View on SEC IAPD

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