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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 | 2019-10-22 |
| AZ | RA | APPROVED | 2017-08-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Financial Equity Corporation | Scottsdale | AZ | 05/2013 | 07/2017 |
| J.P. Morgan Securities Llc | Scottsdale | AZ | 08/2017 | Present |
| Jpmorgan Chase Bank, Na. | Scottsdale | AZ | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-30 |
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