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Thomas A. Goldberg

J.P. Morgan Securities LLC

Austin, TX

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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 2017-11-03
  • TX RA
    APPROVED
    Since 2017-11-03

Branch Locations

11800 Domain Dr, Austin, TX 78758 • 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
Gwn Securities Inc. San Antonio TX 10/2015 09/2017
Jpmorgan Securities Llc Austin TX 10/2017 Present
  • 10/2015 → 09/2017
    Gwn Securities Inc.
    San Antonio, TX
  • 10/2017 → Present
    Jpmorgan Securities Llc
    Austin, TX
Previous Registrations
  • 2015-12-04 → 2017-11-06
    Gwn Securities Inc.
    San Antonio, TX
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-04
S63 Uniform Securities Agent State Law Examination 2014-06-13
  • S65 Uniform Investment Adviser Law Examination
    2015-12-04
  • S63 Uniform Securities Agent State Law Examination
    2014-06-13
Other Names
  • Thomas Goldberg
  • Thomas Aaron Goldberg

View on SEC IAPD

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