Tracy A. Pulvers

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → 11/2021
  Rbc Capital Markets, Llc
  Century City, CA
• 03/2017 → 11/2021
  City National Bank
  Century City, CA
• 11/2021 → Present
  Jpmorgan Chase Bank, N.A.
  Los Angeles, CA
• 11/2021 → Present
  J.P. Morgan Securities Llc
  Los Angeles, CA

Previous Registrations

• 2010-05-11 → 2021-11-18
  Rbc Capital Markets, Llc
  Century City, CA
  Beverly Hills, CA
  Century City, CA
• 2009-06-01 → 2010-05-19
  Morgan Stanley
  Los Angeles, CA
• 2003-04-28 → 2009-06-01
  Citigroup Global Markets Inc.
  Los Angeles, CA
  Los Angeles, CA
• 2003-01-17 → 2003-05-01
  Credit Suisse Securities (Usa) Llc
  Los Angeles, CA
• 1997-07-08 → 2003-01-17
  Pershing Llc
  Los Angeles, CA

Other Businesses

Effective 11/4/2021 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

• S66 Uniform Combined State Law Examination
  2002-01-08
• S63 Uniform Securities Agent State Law Examination
  1990-03-13

Other Names

• Tracy Alan Pulvers