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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-06-01
CA RA APPROVED 1999-01-19
  • TX RA
    APPROVED_RES
    Since 2017-06-01
  • CA RA
    APPROVED
    Since 1999-01-19

Branch Locations

660 Newport Center Drive Suite 750, Newport Beach, CA 92660 • United States

Laguna Niguel, CA • 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. Los Angeles CA 10/2010 Present
J.P. Morgan Securities Llc Los Angeles CA 10/2008 Present
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 1999-01-05
S63 Uniform Securities Agent State Law Examination 1982-03-16
  • S65 Uniform Investment Adviser Law Examination
    1999-01-05
  • S63 Uniform Securities Agent State Law Examination
    1982-03-16
Other Names
  • William David Caprine

View on SEC IAPD

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