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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:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
CT RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • CT RA
    APPROVED
    Since 2012-10-01

Branch Locations

Plainview, NY • United States

277 Park Ave, Floor 03, New York, NY 10172 • United States

216 Old Country Rd Floor 03, Mineola, NY 11501-4265 • 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
J.P. Morgan Securities Llc New York NY 10/2012 Present
Previous Registrations
  • 2011-12-19 → 2012-10-01
    Chase Investment Services Corp.
    New York, NY
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-09
S63 Uniform Securities Agent State Law Examination 1985-05-24
  • S66 Uniform Combined State Law Examination
    2011-12-09
  • S63 Uniform Securities Agent State Law Examination
    1985-05-24
Other Names
  • Janine Frances Ponzio
  • Janine Frances Ponzio
  • Janine Frances Slattery
  • Janine Slattery

View on SEC IAPD

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