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Syed Ali

J.P. Morgan Securities LLC

Santa Clara, CA

CRD 6916911

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Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-07-19
  • CA RA
    APPROVED
    Since 2022-07-19

Branch Locations

2200 El Camino Real, Santa Clara, CA 95050 • 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 Bank Na Santa Clara CA 11/2011 07/2022
Wells Fargo Clearing Services Llc Santa Clara CA 02/2018 07/2022
J.P. Morgan Securities Llc Santa Clara CA 07/2022 Present
Jpmorgan Chase Bank, N.A. Santa Clara CA 07/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-12
  • S66 Uniform Combined State Law Examination
    2018-06-12
Other Names
  • Syed Ali
  • Syed S Ali
  • Syed Shiraz Ali

View on SEC IAPD

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EDELMAN FINANCIAL ENGINES · SANTA CLARA, CA
TAIWANIA CAPITAL MANAGEMENT USA, INC. · SANTA CLARA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · SANTA CLARA, CA

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