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Christopher N Smith

J.P. Morgan Securities LLC

Walnut Creek, CA

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-28
  • CA RA
    APPROVED
    Since 2024-03-28

Branch Locations

1656 N California Blvd, Walnut Creek, CA 94596 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
First Republic Bank San Francisco CA 07/2011 07/2023
First Republic Securities Company, Llc San Francisco CA 05/2013 09/2023
J.P. Morgan Securities Llc Walnut Creek CA 09/2023 Present
Jpmorgan Chase Bank, N.A. Walnut Creek CA 10/2023 Present
  • 07/2011 → 07/2023
    First Republic Bank
    San Francisco, CA
  • 05/2013 → 09/2023
    First Republic Securities Company, Llc
    San Francisco, CA
  • 09/2023 → Present
    J.P. Morgan Securities Llc
    Walnut Creek, CA
  • 10/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Walnut Creek, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-06
S63 Uniform Securities Agent State Law Examination 2010-03-31
  • S65 Uniform Investment Adviser Law Examination
    2024-02-06
  • S63 Uniform Securities Agent State Law Examination
    2010-03-31
Other Names
  • Christopher Neil Smith

View on SEC IAPD

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