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Brian E Yorty

J.P. Morgan Securities LLC

Montecito, CA

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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 2013-09-20
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-20
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

1165 Coast Village Rd, Ste K, Montecito, CA 93108 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Santa Barbara CA 10/2012 Present
Jpmorgan Chase Bank, N.A. Santa Barbara CA 10/2012 Present
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Santa Barbara, CA
  • 10/2012 → Present
    Jpmorgan Chase Bank, N.A.
    Santa Barbara, CA
Previous Registrations
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Santa Barbara, CA
    Santa Barbara, CA
  • 2007-07-17 → 2009-05-02
    Wamu Investments, Inc.
    Riverside, CA
    Santa Barbara, CA
  • 2004-11-29 → 2007-07-10
    A. G. Edwards & Sons, Inc.
    San Juan Capistrano, CA
    San Juan Capistrano, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-24
  • S66 Uniform Combined State Law Examination
    2004-11-24
Designations

View on SEC IAPD

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Other Offices

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SOHO FINANCIAL SERVICES LLC · MONTECITO, CA
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