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Phillip Garret Walling

J.P. Morgan Securities LLC

New York, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
TX RA APPROVED_RES 2020-05-15
NJ RA APPROVED 2015-06-16
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2020-05-15
  • NJ RA
    APPROVED
    Since 2015-06-16

Branch Locations

1230 Avenue Of The Americas Flr 3, New York, NY 10020 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New York NY 05/2015 08/2017
Jpmorgan Chase Bank, N.A. New York NY 08/2017 Present
J.P. Morgan Securities Llc New York NY 08/2017 Present
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 9/20/2019 ADDRESS: 817 CENTERVILLE, MA. DETAILS: rent out a condo INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 0 HOURS DURING TRADING: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-11
S63 Uniform Securities Agent State Law Examination 2010-03-24
  • S66 Uniform Combined State Law Examination
    2015-06-11
  • S63 Uniform Securities Agent State Law Examination
    2010-03-24

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