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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2019-09-11 |
Branch Locations
600 Travis St Floor 09, Houston, TX 77002 • United States
Katy, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | El Paso | TX | 04/2013 | 09/2017 |
| Wells Fargo Clearing Services, Llc | El Paso | TX | 09/2016 | 09/2017 |
| Jp Morgan Securities, Llc | Redmond | WA | 08/2019 | Present |
| Jp Morgan Chase Bank, N.A. | Redmond | WA | 08/2019 | Present |
| Uber | Redmond | WA | 10/2018 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Redmond | WA | 09/2017 | 08/2019 |
| Wells Fargo Bank Na | Redmond | WA | 09/2017 | 08/2019 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2016-11-16 |
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