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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2017-05-02 |
| CA | RA | APPROVED | 2011-01-14 |
| LA | RA | APPROVED | 2006-04-20 |
| OH | RA | APPROVED | 2003-02-27 |
| TX | RA | APPROVED_RES | 2002-10-07 |
Branch Locations
1302 State Street, Santa Barbara, CA 93101 • United States
2029 Century Park East, Floor 37, Los Angeles, CA 90067 • 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 |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Santa Barbara | CA | 10/2010 | Present |
| J.P. Morgan Securities Llc | Santa Barbara | CA | 10/2008 | Present |
| Setos Lago Holdings, Llc | Greenwich | NY | 10/2017 | 08/2024 |
Entity Name: Santa Barbara Club Preservation Foundation Investment related: Yes Address: 1105 Chapala St Santa Barbara CA 93101 Nature of the other business: Raise funds for historic building maintenance and neighborhood enhancement projects Position/Title/Relationship: Trustee Start Date: 04-Aug-2015 Approximate # of hours a month: 1-2 hrs per month Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Trustee 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 |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-10-15 |
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