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Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-03
  • FL RA
    APPROVED
    Since 2024-09-03

Branch Locations

6145 Exchange Way, Lakewood Ranch, FL 34202 • 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 Na Cary NC 03/2013 08/2024
Wells Fargo Clearing Services, Llc Cary NC 09/2016 08/2024
Jpmorgan Chase Bank, N.A. Longboat Key FL 08/2024 Present
J.P. Morgan Securities Llc Longboat Key FL 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-22
S63 Uniform Securities Agent State Law Examination 2016-12-01
  • S65 Uniform Investment Adviser Law Examination
    2016-12-22
  • S63 Uniform Securities Agent State Law Examination
    2016-12-01

View on SEC IAPD

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