Samuel H Srochi

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2017-07-06
TX	RA	APPROVED_RES	2014-02-13
GA	RA	APPROVED	2005-09-01

WA RA
APPROVED

Since 2017-07-06
TX RA
APPROVED_RES

Since 2014-02-13
GA RA
APPROVED

Since 2005-09-01

Branch Locations

Brookhaven, GA • United States

3424 Peachtree Road Ne Floor 17 & 18, Atlanta, GA 30326 • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	Atlanta	GA	10/2010	Present
J.P. Morgan Securities Llc	Atlanta	GA	10/2008	Present

10/2010 → Present

Jpmorgan Chase Bank, N.A.

Atlanta, GA
10/2008 → Present

J.P. Morgan Securities Llc

Atlanta, GA

Previous Registrations

2003-05-05 → 2005-05-27

Ubs Financial Services Inc.

Atlanta, GA

Other Businesses

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.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-01
S63	Uniform Securities Agent State Law Examination	1987-03-25

S66 Uniform Combined State Law Examination

2003-05-01
S63 Uniform Securities Agent State Law Examination

1987-03-25

View on SEC IAPD