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Paula E Gandy

J.P. Morgan Securities LLC

Baton Rouge, LA

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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_RES 2013-09-19
LA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • LA RA
    APPROVED
    Since 2012-10-01

Branch Locations

451 Florida Street, Baton Rouge, LA 70801 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Baton Rouge LA 10/2012 Present
Jpmorgan Chase Bank, N.A. Baton Rouge LA 10/2012 Present
Previous Registrations
  • 2006-11-29 → 2012-10-01
    Chase Investment Services Corp.
    Baton Rouge, LA
    Baton Rouge, LA
  • 1996-11-13 → 2003-10-31
    Banc One Securities Corporation
    Baton Rouge, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-07
S65 Uniform Investment Adviser Law Examination 1997-01-24
S63 Uniform Securities Agent State Law Examination 1990-10-19
  • S66 Uniform Combined State Law Examination
    2016-04-07
  • S65 Uniform Investment Adviser Law Examination
    1997-01-24
  • S63 Uniform Securities Agent State Law Examination
    1990-10-19
Other Names
  • Paula Nell Ensminger
  • Paula Nell Gandy

View on SEC IAPD

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Other Investors

RYAN MATTHEW MALONE
Andrew K Scholl
DANIELLE T CREPPEL
Thomas S Piland
BRIAN M SARTIN
Michael T Fels
Paul B Langston
TERENCE E GINN

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
CETERA INVESTMENT ADVISERS LLC · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP · BATON ROUGE, LA
MORGAN STANLEY · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · Baton Rouge, LA
3RD STREET CAPITAL MANAGEMENT L.L.C. · BATON ROUGE, LA

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