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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 | 2026-03-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Antonio | TX | 03/2026 | Present |
| Finra | Rockville | MD | 03/2017 | Present |
| Morgan Stanley | San Antonio | TX | 09/2020 | 04/2025 |
| Usaa | San Antonio | TX | 12/2010 | 09/2020 |
Entity Name: FINRA Investment related: No Address: WWW.FINRA.ORG 9509 Key West Ave Rockville, MD " Nature of the other business: Self-Regulatory Organization Position/Title/Relationship: Employee/Contractor Start Date: 03/01/2017 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am on the roster of eligible arbitrators for FINRA, the primary regulatory agency of broker-dealers. FINRA arbitrators are independent contractors, not employees, and only receive compensation when they are assigned a case to work on. I generally spend approximately one hour per month keeping up to date with my responsibilities and this does not interfere with my work for JP Morgan.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-15 |
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