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Bradley J. Smith

J.P. Morgan Securities LLC

Laguna Niguel, 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 2018-07-17
TX RA APPROVED 2018-07-17
  • CA RA
    APPROVED
    Since 2018-07-17
  • TX RA
    APPROVED
    Since 2018-07-17

Branch Locations

28131 Crown Valley Parkway, Laguna Niguel, CA 92677 • 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
Merrill Lynch Pierce Fenner And Smith Inc Laguna Niguel CA 09/2011 07/2018
Bank Of America, N.A. Laguna Niguel CA 11/2011 07/2018
J.P. Morgan Securities Llc Laguna Niguel CA 07/2018 Present
Jpmorgan Chase Bank, Na. Laguna Niguel CA 07/2018 Present
Brad Smith And Leah Averre Partnership Dana Point CA 07/2013 10/2020
Dana Point Duplex Dana Point CA 10/2020 07/2024
  • 09/2011 → 07/2018
    Merrill Lynch Pierce Fenner And Smith Inc
    Laguna Niguel, CA
  • 11/2011 → 07/2018
    Bank Of America, N.A.
    Laguna Niguel, CA
  • 07/2018 → Present
    J.P. Morgan Securities Llc
    Laguna Niguel, CA
  • 07/2018 → Present
    Jpmorgan Chase Bank, Na.
    Laguna Niguel, CA
  • 07/2013 → 10/2020
    Brad Smith And Leah Averre Partnership
    Dana Point, CA
  • 10/2020 → 07/2024
    Dana Point Duplex
    Dana Point, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-24
  • S66 Uniform Combined State Law Examination
    2010-11-24
Other Names
  • Brad James Smith
  • Brad Smith
  • Bradley James Smith
  • Bradley J Smith

View on SEC IAPD

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EHRLICH FINANCIAL GROUP
TCFG INVESTMENT ADVISORS, LLC
SENTIENT FINANCIAL, LLC
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MORGAN STANLEY
AMERIPRISE FINANCIAL SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ANDREW LEE EHRLICH
HEATHER MICHELLE BOONE
LORA J ROMMEL
JESSICA LYNN KRUSEY
Burton Blayne Brown
Steven Andrew King
Michael John Herlevi
Don M Dumas

Other Offices

EHRLICH FINANCIAL GROUP · LAGUNA NIGUEL, CA
TCFG INVESTMENT ADVISORS, LLC · LAGUNA NIGUEL, CA
SENTIENT FINANCIAL, LLC · LAGUNA NIGUEL, CA
LPL FINANCIAL LLC · LAGUNA NIGUEL, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAGUNA NIGUEL, CA
MORGAN STANLEY · Laguna Niguel, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA

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