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Catherine Claire Buckley

J.P. Morgan Securities LLC

New York, NY

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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-04-05
TX RA APPROVED 2024-04-05
  • NY RA
    APPROVED
    Since 2024-04-05
  • TX RA
    APPROVED
    Since 2024-04-05

Branch Locations

270 Park Avenue Floors 24 And 25, New York, NY 10017 • 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. New York NY 07/2006 Present
J.P. Morgan Securities Llc New York NY 08/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-04-05
S63 Uniform Securities Agent State Law Examination 2007-03-26
  • S65 Uniform Investment Adviser Law Examination
    2024-04-05
  • S63 Uniform Securities Agent State Law Examination
    2007-03-26
Other Names
  • Katie Wert
  • Catherine Wert
  • Catherine Claire Wert
  • Katie Wert

View on SEC IAPD

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