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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-03-27
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2015-03-27
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

3057 Stevens Creek Blvd, Santa Clara, CA 95050 • 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
Jp Morgan Chase Bank, N.A. Santa Clara CA 09/2012 Present
  • 09/2012 → Present
    Jp Morgan Chase Bank, N.A.
    Santa Clara, CA
Previous Registrations
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    San Jose, CA
    San Jose, CA
    Santa Clara, CA
    Santa Clara, CA
  • 2008-05-23 → 2009-05-02
    Wamu Investments, Inc.
    San Jose, CA
  • 2006-05-08 → 2008-05-21
    Wells Fargo Investments, Llc
    Palo Alto, CA
    San Francisco, CA
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: 6/28/2019 ADDRESS: 26 Petaluma CA DETAILS: commercial rental property INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 1 HOURS DURING TRADING: NONE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-05
  • S66 Uniform Combined State Law Examination
    2006-05-05

View on SEC IAPD

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