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Max Shockett

J.P. Morgan Securities LLC

Charlotte, NC

CRD 7599640

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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
NC RA APPROVED 2022-10-21
TX RA APPROVED 2022-10-21
  • NC RA
    APPROVED
    Since 2022-10-21
  • TX RA
    APPROVED
    Since 2022-10-21

Branch Locations

4350 Congress Street Floor 01, Charlotte, NC 28209 • 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
Jpmorgan Chase Bank Na Charlotte NC 07/2022 Present
Jpmorgan Securities Llc Charlotte NC 07/2022 Present
Davidson College Davidson NC 08/2018 11/2021
The Baltimore Orioles Baltimore MD 05/2019 08/2019
The Baltimore Orioles Balitmore MD 04/2018 08/2018
Unemployed Baltimore MD 07/2012 03/2018
Unemployed Baltimore MD 12/2021 06/2022
Jpmorgan Chase Atlanta GA 05/2021 08/2021
Red X Coffee Denver CO 03/2020 05/2021
  • 07/2022 → Present
    Jpmorgan Chase Bank Na
    Charlotte, NC
  • 07/2022 → Present
    Jpmorgan Securities Llc
    Charlotte, NC
  • 08/2018 → 11/2021
    Davidson College
    Davidson, NC
  • 05/2019 → 08/2019
    The Baltimore Orioles
    Baltimore, MD
  • 04/2018 → 08/2018
    The Baltimore Orioles
    Balitmore, MD
  • 07/2012 → 03/2018
    Unemployed
    Baltimore, MD
  • 12/2021 → 06/2022
    Unemployed
    Baltimore, MD
  • 05/2021 → 08/2021
    Jpmorgan Chase
    Atlanta, GA
  • 03/2020 → 05/2021
    Red X Coffee
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-21
  • S66 Uniform Combined State Law Examination
    2022-10-21
Other Names
  • Max Miles Shockett

View on SEC IAPD

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FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC

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