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Peter Rozman

J.P. Morgan Securities LLC

Indianapolis, IN

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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 2024-09-12
IN RA APPROVED 2024-09-11
  • TX RA
    APPROVED_RES
    Since 2024-09-12
  • IN RA
    APPROVED
    Since 2024-09-11

Branch Locations

1 E Ohio St Floor 17, Indianapolis, IN 46204 • 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
World Financial Group Dayton OH 03/2016 11/2018
Sherwin Williams Company Cleveland OH 05/2017 08/2017
Bank Of America/Merrill Lynch Milwaukee WI 09/2018 08/2022
Mai Capital Managment Llc Cleveland OH 09/2022 08/2024
J.P. Morgan Securities Llc Indianapolis IN 09/2024 Present
Jpmorgan Chase Bank, N.A. Indianapolis IN 09/2024 Present
Tanglewood National Golf Club Chagrin Falls OH 05/2011 08/2016
  • 03/2016 → 11/2018
    World Financial Group
    Dayton, OH
  • 05/2017 → 08/2017
    Sherwin Williams Company
    Cleveland, OH
  • 09/2018 → 08/2022
    Bank Of America/Merrill Lynch
    Milwaukee, WI
  • 09/2022 → 08/2024
    Mai Capital Managment Llc
    Cleveland, OH
  • 09/2024 → Present
    J.P. Morgan Securities Llc
    Indianapolis, IN
  • 09/2024 → Present
    Jpmorgan Chase Bank, N.A.
    Indianapolis, IN
  • 05/2011 → 08/2016
    Tanglewood National Golf Club
    Chagrin Falls, OH
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-09-25
S66 Uniform Combined State Law Examination 2019-09-20
  • S63 Uniform Securities Agent State Law Examination
    2024-09-25
  • S66 Uniform Combined State Law Examination
    2019-09-20
Other Names
  • Peter Rozman
  • Peter Sutton Rozman

View on SEC IAPD

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