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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_RES 2024-03-04
CA RA APPROVED 2024-02-29
  • TX RA
    APPROVED_RES
    Since 2024-03-04
  • CA RA
    APPROVED
    Since 2024-02-29

Branch Locations

29941 Hawthorne Blvd, Rancho Palos Verdes, CA 90275 • 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
Wells Fargo Advisors St. Louis MO 06/2014 09/2023
Wells Fargo Clearing Services, Llc St. Louis MO 06/2014 09/2023
Wells Fargo Bank Na St. Louis MO 06/2014 09/2023
J.P. Morgan Securities Llc Rancho Palos Verdes CA 02/2024 Present
Jpmorgan Chase Bank, N.A. Rancho Palos Verdes CA 02/2024 Present
Unemployed Mountain View CA 10/2023 01/2024
  • 06/2014 → 09/2023
    Wells Fargo Advisors
    St. Louis, MO
  • 06/2014 → 09/2023
    St. Louis, MO
  • 06/2014 → 09/2023
    Wells Fargo Bank Na
    St. Louis, MO
  • 02/2024 → Present
    Rancho Palos Verdes, CA
  • 02/2024 → Present
    Jpmorgan Chase Bank, N.A.
    Rancho Palos Verdes, CA
  • 10/2023 → 01/2024
    Unemployed
    Mountain View, CA
Previous Registrations
  • 2014-07-01 → 2023-09-25
    St. Louis, MO
    St. Louis, MO
    St. Louis, MO
    St. Louis, MO
    San Jose, CA
    San Jose, CA
  • 2013-04-08 → 2013-09-11
    First Command Brokerage Services, Inc.
    O'FAllon, IL
    Town And Country, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-06
S63 Uniform Securities Agent State Law Examination 2013-01-16
  • S65 Uniform Investment Adviser Law Examination
    2013-04-06
  • S63 Uniform Securities Agent State Law Examination
    2013-01-16
Other Names
  • Marques A Sewell
  • Marques Sewell
  • Marques Andre Sewell

View on SEC IAPD

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