Charles Radcliffe

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 04/2017
  First Republic Securities Company
  New York, NY
• 04/2017 → 10/2023
  First Republic Securities Company, Llc
  New York, NY
• 04/2017 → 09/2023
  First Republic Investment Management, Inc.
  New York, NY
• 09/2023 → Present
  J.P. Morgan Securities Llc
  New York, NY
• 10/2023 → Present
  Jpmorgan Chase Bank, Na.
  New York, NY

Previous Registrations

• 2010-07-15 → 2025-03-21
  J.P. Morgan Private Wealth Advisors Llc
  San Francisco, CA
  New York, NY
• 2009-10-29 → 2010-09-30
  First Republic Wealth Advisors, Llc
  New York, NY
• 2009-06-01 → 2009-10-27
  Morgan Stanley
  New York, NY
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  New York, NY
  New York, NY
• 2006-06-20 → 2007-04-02
  Morgan Stanley Dw Inc.
  New York, NY

Other Businesses

Name: CCR Ventures Address: New York, NY Investment-related: Yes Nature of the business: Personal investment company Role: Owner Start Date: January 1, 2011 Number of hours each month: 10 hours Number of hours during trading: 10 hours Name: Radcliffe Family Properties Address: New York, NY Investment-related: No Nature of the business: Family LLC to hold and manage family farm Role: Managing Member Start Date: January 1, 2010 Number of hours each month: 1 hour Number of hours during trading: None Name: Avenues for Justice Address: New York, NY Investment-related: No Nature of the business: non-profit organization that works with juvenile offenders and offers services to help keep children out of prison Role: Board Member Start Date: January 1, 1990 Description of duties: Board related duties Number of hours each month: 4 hours Number of hours during trading: 2 hours Name: SCCR Holdings Address: 41 Park Avenue, #15C, New York, NY 10016 Investment-related: Yes Nature of the Business: Family company to own rental housing, manage vacation home Role: Managing Partner and Co-owner Description of Duties: duties related to role as Managing Partner and Co-owner Start Date: January 1991 Number of hours each month: 5 hours Number of hours during trading: 1hour Mr. Radcliffe acts in the capacity of trustee for a client's account. Start Date: February 2023 Number of hours each month: 2 hours annually Number of hours during trading: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-12-04
• S63 Uniform Securities Agent State Law Examination
  1992-07-31

Other Names

• Charles Radcliffe
• Charles C Radcliffe
• Charles Clark Radcliffe