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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2025-01-31
LA RA APPROVED 2014-11-10
NC RA APPROVED 2014-11-07
TX RA APPROVED_RES 2014-11-05
OH RA APPROVED 2014-11-04
NJ RA APPROVED 2005-11-17
  • ME RA
    APPROVED
    Since 2025-01-31
  • LA RA
    APPROVED
    Since 2014-11-10
  • NC RA
    APPROVED
    Since 2014-11-07
  • TX RA
    APPROVED_RES
    Since 2014-11-05
  • OH RA
    APPROVED
    Since 2014-11-04
  • NJ RA
    APPROVED
    Since 2005-11-17

Branch Locations

1735 Market Street Suite 3110, Philadelphia, PA 19103 • United States

225 South Street 2Nd Floor, Morristown, NJ 07960 • 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, N.A. Whippany NJ 10/2010 Present
J.P. Morgan Securities Llc Whippany NJ 10/2008 Present
Previous Registrations
Other Businesses

Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-17
S63 Uniform Securities Agent State Law Examination 1991-12-18
  • S65 Uniform Investment Adviser Law Examination
    1996-06-17
  • S63 Uniform Securities Agent State Law Examination
    1991-12-18
Other Names
  • Bruce David Baumgarten

View on SEC IAPD

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