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Mark Sinclair Fisher

J.P. Morgan Securities LLC

Tempe, AZ

New York, NY

CRD 1735583

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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
AZ RA APPROVED 2014-07-15
  • AZ RA
    APPROVED
    Since 2014-07-15

Branch Locations

150 W University Dr, Floor 04, Tempe, AZ 85281 • United States

270 Park Avenue, New York, NY 10017 • 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
J.P. Morgan Securities Llc Tempe AZ 06/2014 Present
Jpmorgan Chase Bank, N.A. Tempe AZ 06/2014 Present
Previous Registrations
  • 2005-09-07 → 2014-07-03
    New England Securities
    Phoenix, AZ
    Phoenix, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-03
S63 Uniform Securities Agent State Law Examination 1988-08-09
  • S66 Uniform Combined State Law Examination
    2005-09-03
  • S63 Uniform Securities Agent State Law Examination
    1988-08-09
Other Names
  • Mark S Fisher

View on SEC IAPD

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