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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2020-08-18 |
| CA | RA | APPROVED | 2020-02-28 |
| TX | RA | APPROVED | 2020-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bbva Securities Inc. | Livermore | CA | 11/2017 | 07/2019 |
| Compass Bank | Birmingham | AL | 09/2014 | 07/2019 |
| Bbva Compass Insurance Agency, Inc. | Livermore | CA | 05/2017 | 07/2019 |
| Jpmorgan Chase Bank, N.A. | Los Angeles | CA | 07/2019 | 07/2021 |
| J.P. Morgan Securities, Llc | Los Angeles | CA | 07/2019 | 07/2021 |
| J.P. Morgan Securities Llc | Beverly Hills | CA | 08/2021 | Present |
| Jpmorgan Chasae Bank, N.A. | Beverly Hills | CA | 08/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 2018-08-13 |
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