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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2021-12-21 |
| NE | RA | APPROVED | 2021-12-08 |
| TX | RA | APPROVED | 2021-12-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Omaha | NE | 01/2015 | 07/2018 |
| Charles Schwab & Co., Inc. | Omaha | NE | 09/2018 | 11/2019 |
| Charles Schwab Bank | Omaha | NE | 09/2018 | 11/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Omaha | NE | 02/2020 | 05/2021 |
| Bank Of America, N.A. | Omaha | NE | 02/2020 | 05/2021 |
| Unemployed | Omaha | NE | 12/2019 | 01/2020 |
| Unemployed | Omaha | NE | 08/2018 | 08/2018 |
| Prime Capital Investment Advisors, Llc | Omaha | NE | 05/2021 | 08/2021 |
| J.P. Morgan Securities Llc | Omaha | NE | 11/2021 | Present |
| Jpmorgan Chase Bank, N.A. | Omaha | NE | 11/2021 | Present |
| Unemployment | Omaha | NE | 09/2021 | 10/2021 |
| Qualified Plan Advisors | Omaha | NE | 05/2021 | 08/2021 |
| Fidelity Investments | Omaha | NE | 01/2015 | 07/2018 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-16 |
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