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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-09-24
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-24
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

39395 Paseo Padre Pkwy, Fremont, CA 94538 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Fremont CA 10/2012 Present
Jpmorgan Chase Bank, Na. Fremont CA 06/2009 Present
Previous Registrations
  • 2009-06-12 → 2012-10-01
    Chase Investment Services Corp.
    Newark, CA
    Fremont, CA
    Milpitas, CA
    Milpitas, CA
    Fremont, CA
  • 2009-01-07 → 2009-05-21
    San Jose, CA
    San Jose, CA
  • 2008-02-25 → 2009-01-02
    Morgan Stanley & Co. Llc
    Cupertino, CA
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: CO-OWNER / LANDLORD - RENTAL PROPERTY START DATE: 3/27/2015 ADDRESS: 2582 UNION CITY, CA. DETAILS: landlord of the rental property. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 0.5 HOUR PER MONTH HOURS DURING TRADING: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-17
  • S66 Uniform Combined State Law Examination
    2008-01-17

View on SEC IAPD

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