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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-03 |
| CT | RA | APPROVED | 2012-10-01 |
Branch Locations
277 Park Ave, Floor 03, New York, NY 10172 • United States
216 Old Country Rd Floor 03, Mineola, NY 11501-4265 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 10/2012 | Present |
Entity Name: FINRA Investment related: Yes Address: 1735 NW Washington, DC finra.org Nature of the other business: FINRA Position/Title/Relationship: FINRA Arbitrator Start Date: 21-Jan-2020 Approximate # of hours a month: Unknown at this time. However, this would not be consistent activity, it would just be when called and when I agree to participate. Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Participate as an arbitrator to hear and decided on industry-related arbitration matters concerning securities sales practices, compensation, etc.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-24 |
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