Richard Zinman

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

• 11/2014 → 06/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA
• 11/2014 → 06/2018
  Bank Of America, N.A.
  Century City, CA
• 06/2018 → Present
  Jpmorgan Chase Bank, N.A.
  Los Angeles, CA
• 06/2018 → Present
  Jpmorgan Securities, Llc.
  Los Angeles, CA

Previous Registrations

• 2014-11-17 → 2018-06-11
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 2009-06-01 → 2014-11-19
  Morgan Stanley
  Beverly Hills, CA
• 2008-03-24 → 2009-06-01
  Morgan Stanley & Co. Llc
  Beverly Hills, CA
• 2004-11-10 → 2008-04-07
  Ubs Financial Services Inc.
  Century City, CA
  Los Angeles, CA

Other Businesses

Entity Name: The Buckley School Investment related: Yes "Address: 3900 Stansbury Ave. Sherman Oaks, CA 91423 www.buckley.org" Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 07/01/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: I will be serving on the Board of Trustees for The Buckley School. The committees I will serve on are Budget & Finance, Buildings & Grounds and Investments. As a member of the Investment Committee, we oversee the third party advisors managing the school's endowment. My involvement will be to listen to quarterly performance reports. I am not involved in any investment decisions. The Buckley School is a current client of JP Morgan. " Entity Name: Zinman Family Trust Investment related: Yes Address: Studio City, CA 91604 Nature of the other business: The condo will be held in our family trust; my wife and I are trustees. We intend to rent the condo. Position/Title/Relationship: Owner Start Date: 08-Aug-2020 Approximate # of hours a month: 2 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Working with rental agent, collecting monthly rent, providing any necessary servicing and maintenance.; I oversee the assets on our family trust. 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

• S66 Uniform Combined State Law Examination
  2004-11-08

Other Names

• Richard Jay Zinman