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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
OH RA APPROVED 2019-02-11
TX RA APPROVED 2019-02-11
  • OH RA
    APPROVED
    Since 2019-02-11
  • TX RA
    APPROVED
    Since 2019-02-11

Branch Locations

370 S Cleveland Ave Floor 2, Columbus, OH 43081 • United States

10 S Dearborn St. Floor 13, Chicago, IL 60603 • United States

Columbus, OH • 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
Unemployed Columbus OH 06/2017 02/2018
Citibank Columbus OH 03/2014 06/2017
Jpmorgan Securities Llc Columbus OH 02/2018 Present
  • 06/2017 → 02/2018
    Unemployed
    Columbus, OH
  • 03/2014 → 06/2017
    Citibank
    Columbus, OH
  • 02/2018 → Present
    Jpmorgan Securities Llc
    Columbus, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-08
  • S66 Uniform Combined State Law Examination
    2018-06-08
Other Names
  • Kathy Lynn Nielsen
  • Kathy L Warden
  • Kathy Lynn Warden

View on SEC IAPD

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