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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-12-06 |
| TX | RA | APPROVED_RES | 2023-12-06 |
Branch Locations
560 Mission Street, San Francisco, CA 94105 • United States
1 Front Street, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Company, Llc | San Francisco | CA | 03/2016 | 10/2023 |
| First Republic Investment Management, Inc | San Francisco | CA | 03/2016 | Present |
| J.P. Morgan Securities Llc | San Francisco | CA | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | San Francisco | CA | 10/2023 | Present |
1). Name: California Polytechnic State University Address: 1 Grand Ave San Luis Obispo CA 93407 Investment-related: No Nature of the business: Education Role: Finance Advisory Board Member Start Date: 10/01/2021 Description of duties: To connect Cal Poly faculty and students to leaders in the finance industry who can also assist the Orfalea College of Business in the design and delivery of a current and relevant finance curriculum. Number of hours each month: 2 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-05-12 |
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