J.P. MORGAN SECURITIES LLC
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J.P. MORGAN SECURITIES LLC
(CRD# 79)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Apr 1965.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$130.3 Billion,
with discretion over
75%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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J.P. MORGAN SECURITIES LLC
also reported in
Mar 2019
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7383
employees,
with
5516
performing advisory functions.
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A total of 5129 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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J.P. MORGAN SECURITIES LLC has one or more disclosure events currently on file with the SEC.
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J.P. MORGAN SECURITIES LLC has Notice Filings with the following State Securities Authorities:
AK-Jul 1987, AL-Apr 1991, AR-Jul 1987, AZ-Oct 2008, CA-Jul 19
, CO-Feb 2005, CT-Aug 1997, DC-Jan 1994, DE-Sep 2003, FL-Jun 1
, GA-Jan 1992, HI-Jan 1988, IA-Jan 1999, ID-Aug 1987, IL-Oct 1
, IN-Jan 2003, KS-Jul 1987, KY-Nov 1997, LA-Sep 2001, MD-Nov 1
, ME-Jan 1998, MI-Feb 2005, MN-Jul 1987, MO-Nov 1998, MS-May 2
, MT-Nov 1997, NC-Jan 2003, ND-Jul 1987, NE-Jul 1997, NH-Sep 1
, NJ-Jan 1961, NM-Aug 1987, NV-Dec 1990, NY-Apr 1986, OH-Sep 2
, OK-Jan 1998, OR-Jan 2001, PA-Oct 1981, PR-Sep 1987, RI-Jan 1
, SC-Jul 1987, SD-May 1986, TN-Jan 1998, TX-Jan 1985, UT-Dec 1
, VA-Jul 1987, VI-Mar 2010, VT-Nov 1994, WA-Apr 1988, WI-Jul 1
, WV-Jul 1987, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
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