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Nicholas Ivan Berman

J.P. Morgan Securities LLC

Los Angeles, 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 2023-01-31
TX RA APPROVED 2023-01-31
  • CA RA
    APPROVED
    Since 2023-01-31
  • TX RA
    APPROVED
    Since 2023-01-31

Branch Locations

1888 Century Park E, Floor 5, Los Angeles, CA 90067 • 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 Los Angeles CA 08/2014 Present
Jpmorgan Chase Bank Na Los Angeles CA 08/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-31
S63 Uniform Securities Agent State Law Examination 2014-10-13
  • S65 Uniform Investment Adviser Law Examination
    2023-01-31
  • S63 Uniform Securities Agent State Law Examination
    2014-10-13
Other Names
  • Nick Berman
  • Nicholas Berman

View on SEC IAPD

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