Michael S Kertes

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

• 10/2012 → Present
  J.P. Morgan Securities Llc
  Cleveland, OH
• 11/1999 → Present
  Self Employed
  Avon Lake, OH
• 10/2012 → Present
  Jpmorgan Chase Bank, N.A.
  Cleveland, OH

Previous Registrations

• 2005-07-06 → 2012-10-01
  Chase Investment Services Corp.
  Cleveland, OH
  Chicago, IL
• 1996-12-05 → 2005-07-06
  Banc One Securities Corporation
  Cleveland, OH

Other Businesses

ACTIVITY TYPE: 4 - OUTSIDE BUSINESS ACTIVITY WITH A NOT-FOR-PROFIT ORGANIZATION NAME OF ENTITY: OHIO SOCIETY SONS OF THE AMERICAN REVOLUTION POSITION: FINANCE COMMITTEE MEMBER START DATE: 6/1/2016 ADDRESS: 5863 Andover, OH DETAILS: AN ORGANIZATION WHOSE PATRIOT ANCESTORS FOUGHT FOR INDEPENDENCE DURING THE AMERICAN REVOLUTIONARY WAR. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 20 HOURS FOR THE YEAR HOURS DURING TRADING: 3 Meetings per year ACTIVITY TYPE: 4 - OUTSIDE BUSINESS ACTIVITY WITH A NOT-FOR-PROFIT ORGANIZATION NAME OF ENTITY: WESTERN RESERVE SOCIETY SONS OF THE AMERICAN REVOLUTION POSITION: VICE CHAIRMAN - CONSOLIDATED FUNDS COMMITTEE START DATE: 1/2/2012 ADDRESS: 5000 Willoughby, OH DETAILS: SOCIAL ORGANIZATION WHOSE SOLE REQUIREMENT FOR MEMBERSHIP IS THAT A PATRIOT ANCESTOR FOUGHT FOR INDEPENDENCE DURING THE AMERICAN REVOLUTIONARY WAR. NO TRADING AUTHORITY COMMITTEE MAKE INVESTMENT RECOMMEDNATIONS TO THE CHAIRMAN OF THE COMMITTEE FOR THE PORTFOLIO FOR WRSSAR. CHAIRMAN HAS TRADING AUTHORITY, I DO NOT. HOURS DEDICATED (per month unless otherwise indicated): 2 HOURS EVERY SIX MONTHS HOURS DURING TRADING: 4 PER YEAR INVESTMENT RELATED: NO ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: NOTARY START DATE: 11/26/1999 ADDRESS: 33328 Avon Lake, OH DETAILS: OH. Notary HOURS DEDICATED (per month unless otherwise indicated): .5 HOURS DURING TRADING: 0 INVESTMENT RELATED: NO

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-12-27
• S63 Uniform Securities Agent State Law Examination
  1987-06-23

Designations

• Certified Financial Planner

Other Names

• Michael Scott Kertes