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Nicholas Joseph Rosa

J.P. Morgan Securities LLC

Chicago, IL

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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 2021-06-15
IL RA APPROVED 2019-08-19
  • TX RA
    APPROVED
    Since 2021-06-15
  • IL RA
    APPROVED
    Since 2019-08-19

Branch Locations

2235 North Milwaukee Avenue, Chicago, IL 60647 • 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 Clearing Services, Llc Chicago IL 08/2017 07/2019
Federal Express Chicago IL 03/2017 08/2017
Unemployed Chicago IL 02/2017 02/2017
United Postal Service Chicago IL 12/2016 01/2017
Unemployed Chicago IL 09/2015 11/2016
Jp Morgan Securities, Llc Chicago IL 07/2019 Present
Jp Morgan Chase Bank, N.A. Chicago IL 07/2019 Present
  • 08/2017 → 07/2019
    Wells Fargo Clearing Services, Llc
    Chicago, IL
  • 03/2017 → 08/2017
    Federal Express
    Chicago, IL
  • 02/2017 → 02/2017
    Unemployed
    Chicago, IL
  • 12/2016 → 01/2017
    United Postal Service
    Chicago, IL
  • 09/2015 → 11/2016
    Unemployed
    Chicago, IL
  • 07/2019 → Present
    Jp Morgan Securities, Llc
    Chicago, IL
  • 07/2019 → Present
    Jp Morgan Chase Bank, N.A.
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-01
  • S66 Uniform Combined State Law Examination
    2017-11-01
Other Names
  • Nick Joseph Rosa
  • Nicholas Rosa

View on SEC IAPD

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BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
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