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Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-03-21
  • CA RA
    APPROVED
    Since 2022-03-21

Branch Locations

1100 Palm Ave, Imperial Beach, CA 91932 • United States

1120 Broadway, Chula Vista, CA 91911 • 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
J.P. Morgan Securities Llc Imperial Beach CA 02/2014 Present
Jpmorgan Chase Bank, N.A. Imperial Beach CA 12/2012 Present
Christ The King Catholic Church St, San Diego CA 01/2024 Present
  • 02/2014 → Present
    Imperial Beach, CA
  • 12/2012 → Present
    Jpmorgan Chase Bank, N.A.
    Imperial Beach, CA
  • 01/2024 → Present
    Christ The King Catholic Church
    St, San Diego, CA
Other Businesses

Entity Name: Christ the King Catholic Church Investment related: No Address: 29 32nd St, San Diego, CA 92102 www.ctksandiego.org Nature of the other business: Religious Services Position/Title/Relationship: Employee/Contractor Start Date: 01/09/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: The Church is a non-profit 501(c)(3) religious Corp. located in the SD Stockton community that promotes Catholic spirituality and embrace cultural diversity. The Finance Council is a Dioceses mandated body that supports the pastor in the temporal aspects of parish life. It has an advisory and consultative role. Finance Council Responsibilities: Stewardship of parish's financial assets and liabilities Fundraising and development Internal controls and procedures Risk Management Building and ground"

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-08
S63 Uniform Securities Agent State Law Examination 2014-05-07
  • S66 Uniform Combined State Law Examination
    2021-10-08
  • S63 Uniform Securities Agent State Law Examination
    2014-05-07

View on SEC IAPD

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