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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
TX RA APPROVED 2023-10-17
NY RA APPROVED 2023-10-11
  • TX RA
    APPROVED
    Since 2023-10-17
  • NY RA
    APPROVED
    Since 2023-10-11

Branch Locations

277 Park Avenue 2Nd & 3Rd Floor, New York, NY 10172 • United States

1230 Avenue Of The Americas, New York, NY 10020 • 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
First Republic Securities Company, Llc New York NY 12/2022 09/2023
First Republic Investment Management, Inc New York NY 08/2022 Present
Seattle Mariners Seattle WA 06/2012 09/2018
New York Mets New York NY 11/2018 06/2019
Somerset Patriots Somerset NJ 06/2019 09/2019
Fargo-Moorhead Redhawks Fargo ND 12/2019 10/2020
Southern Maryland Blue Crabs Waldorf MD 01/2021 09/2021
Charleston Dirty Birds Charleston WV 09/2021 05/2022
J.P. Morgan Securities Llc New York NY 09/2023 Present
Jp Morgan Chase Bank, N.A. New York NY 10/2023 Present
  • 12/2022 → 09/2023
    First Republic Securities Company, Llc
    New York, NY
  • 08/2022 → Present
    First Republic Investment Management, Inc
    New York, NY
  • 06/2012 → 09/2018
    Seattle Mariners
    Seattle, WA
  • 11/2018 → 06/2019
    New York Mets
    New York, NY
  • 06/2019 → 09/2019
    Somerset Patriots
    Somerset, NJ
  • 12/2019 → 10/2020
    Fargo-Moorhead Redhawks
    Fargo, ND
  • 01/2021 → 09/2021
    Southern Maryland Blue Crabs
    Waldorf, MD
  • 09/2021 → 05/2022
    Charleston Dirty Birds
    Charleston, WV
  • 09/2023 → Present
    New York, NY
  • 10/2023 → Present
    Jp Morgan Chase Bank, N.A.
    New York, NY
Previous Registrations
  • 2023-04-17 → 2025-03-21
    J.P. Morgan Private Wealth Advisors Llc
    New York, NY
Other Businesses

I'm the Director of Fundraising for Mission Stadiums for Multiple Sclerosis (MS4MS), a non-profit organization spreading awareness and raising funds for multiple sclerosis. This is not investment-related. Address is PO Box 511, Arnold, MD 21012. I started in March of 2019 and I devote a few hours a week to it, more so when we have a charity event that I attend. I don't devote any hours during securities trading hours. I help with coordinating events, running the social media accounts, and running the website.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-14
  • S66 Uniform Combined State Law Examination
    2023-04-14

View on SEC IAPD

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