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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-05-09 |
| OH | RA | APPROVED | 2005-02-07 |
| NC | RA | APPROVED | 2004-10-01 |
| CA | RA | APPROVED | 2003-09-29 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | San Francisco | CA | 10/2010 | Present |
| J.P. Morgan Securities Llc | San Francisco | CA | 10/2008 | Present |
Entity Name: The properties are held in the name of my Living Trust Investment related: Yes Address: San Francisco, CA Nature of the other business: Rental property held in the name of trust Position/Title/Relationship: Owner Start Date: 01-Jul-2013 Approximate # of hours a month: less than 1 hour Approximate # of hours during securities trading hours: 0 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 1979-06-20 |
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