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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 | 2024-04-10 |
| CT | RA | APPROVED | 2024-04-09 |
Branch Locations
277 Park Avenue 2Nd & 3Rd Floor, New York, NY 10172 • United States
160 Federal Street, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | New York | NY | 07/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 02/2019 |
| First Republic Securities Company, Llc | New York | NY | 02/2019 | 10/2023 |
| First Republic Investment Management, Inc. | New York | NY | 02/2019 | Present |
| J.P. Morgan Securities Llc | Boston | MA | 09/2023 | Present |
| Jp Morgan Chase Bank, N.A. | Boston | MA | 10/2023 | Present |
Name: RKK Partners LLC Investment-related: No Nature of the business: Passive Investment Role: Member Start Date: 04/08/2021 Description of duties: Serve on Board of Directors Number of hours each month: 10-20 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-12 |
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