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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
NY RA APPROVED 2025-02-13
  • NY RA
    APPROVED
    Since 2025-02-13

Branch Locations

120 Broadway, New York, NY 10271 • 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 New York NY 11/2021 Present
Jpmorgan Chase Bank, N.A. New York NY 11/2021 Present
Koeppel Nissan Jackson Heights NY 08/2020 11/2021
Garden Homes New York NY 01/2019 04/2020
Ksw Mechanical Llc Long Island City NY 06/2017 10/2018
First Service Residential New York NY 11/2015 06/2017
233 E 69Th Owners Corp New York NY 04/2020 04/2020
Unemployed Ridgewood NY 11/2018 12/2018
Unemployed Ridgewood NY 05/2020 07/2020
  • 11/2021 → Present
    New York, NY
  • 11/2021 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 08/2020 → 11/2021
    Koeppel Nissan
    Jackson Heights, NY
  • 01/2019 → 04/2020
    Garden Homes
    New York, NY
  • 06/2017 → 10/2018
    Ksw Mechanical Llc
    Long Island City, NY
  • 11/2015 → 06/2017
    First Service Residential
    New York, NY
  • 04/2020 → 04/2020
    233 E 69Th Owners Corp
    New York, NY
  • 11/2018 → 12/2018
    Unemployed
    Ridgewood, NY
  • 05/2020 → 07/2020
    Unemployed
    Ridgewood, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-13
S63 Uniform Securities Agent State Law Examination 2022-05-02
  • S66 Uniform Combined State Law Examination
    2025-02-13
  • S63 Uniform Securities Agent State Law Examination
    2022-05-02

View on SEC IAPD

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