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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-02 |
| CA | RA | APPROVED | 2023-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Mountain View | CA | 09/2013 | 10/2023 |
| Wells Fargo Clearing Services, Llc | Mountain View | CA | 04/2014 | 10/2023 |
| J.P. Morgan Securities Llc | Sunnyvale | CA | 10/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Sunnyvale | CA | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-24 |
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