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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-06 |
| NY | RA | APPROVED | 2021-05-03 |
| NC | RA | APPROVED | 2014-07-01 |
| LA | RA | APPROVED | 2014-06-30 |
| TX | RA | APPROVED_RES | 2014-06-26 |
| OH | RA | APPROVED | 2011-06-10 |
| NJ | RA | APPROVED | 2011-05-05 |
Branch Locations
277 Park Avenue 2Nd & 3Rd Floor, New York, NY 10172 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 04/2011 | Present |
| Jpmorgan Chase Bank, N.A. | New York | NY | 04/2011 | Present |
| Smiths Cove Llc | Greenwich | CT | 10/2014 | Present |
Entity Name: Smiths Cove LLC Investment related: Yes Address: 27 Greenwich, CT Nature of the other business: Structured as a family entity to own a single family residence in Connecticut to be rented. Position/Title/Relationship: Investor/Co-Owner Start Date: 31-Oct-2014 Approximate # of hours a month: 2 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I deposit the rent checks and maintain the checkbook Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1986-05-23 |
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