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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
TX RA APPROVED 2022-09-22
  • TX RA
    APPROVED
    Since 2022-09-22

Branch Locations

600 Travis St Floor 09, Houston, TX 77002 • United States

Pearland, TX • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 12/2006 08/2022
Jpmorgan Chase Bank, Na Houston TX 08/2022 Present
Jpmorgan Securities Llc Houston TX 08/2022 Present
Bravura Weightlifting, Llc Houston TX 09/2017 11/2022
  • 12/2006 → 08/2022
    Houston, TX
  • 08/2022 → Present
    Jpmorgan Chase Bank, Na
    Houston, TX
  • 08/2022 → Present
    Jpmorgan Securities Llc
    Houston, TX
  • 09/2017 → 11/2022
    Bravura Weightlifting, Llc
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-27
  • S66 Uniform Combined State Law Examination
    2012-08-27
Other Names
  • Jimmy Mauricio Diaz
  • Jimmy Diaz

View on SEC IAPD

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