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J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO., JPMORGAN H&Q, JPMORGAN CHASE, J.P.MORGAN SECURITIES INC., J.P. MORGAN WEALTH MANAGEMENT…
CRD#: 79/SEC#: 801-3702,8-35008
B
Brokerage Firm Regulated by FINRA (New York district office)
IA
Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
383 MADISON AVENUE
NEW YORK, NY 10179 UNITED STATES
Disclosures
543 Total Disclosures
391Regulatory Event9Civil Event143Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 383 MADISON AVENUE
NEW YORK, NY 10179 UNITED STATES
Mailing Address 1111 POLARIS PKWY
FLOOR 3F
COLUMBUS, OH 43240 UNITED STATES
Phone212-272-2000
Established inDelaware since 08/12/1985
TypeLimited Liability Company
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
J.P. MORGAN BROKER-DEALER HOLDINGS INC. MEMBER
AIDELSON, DAVID (CRD#: 7884539) CHIEF LEGAL OFFICER
ALAOUI ABDALLAOUI, RACHID (CRD#:7122597) CEO, CHAIR, ELECTED MANAGER
BELL, JEREMY (CRD#:4268755) CHIEF COMPLIANCE OFFICER - BROKER DEALER
BISESI, BRIAN J (CRD#:3090554) ELECTED MANAGER
CHOI, MICHAEL (CRD#: 6597789) CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER
COLLINS, JAMES MICHAEL (CRD#:2725065) CHIEF FINANCIAL OFFICER
DEMPSEY, PATRICK PAUL (CRD#:2830362) TREASURER
ENGLANDER, ADAM F (CRD#:2941059) ELECTED MANAGER
FOLEY, KEVIN J (CRD#:4012244) ELECTED MANAGER
KLION, ROGER (CRD#:5082261) CHIEF OPERATING OFFICER
MCCRUM, CARRIE (CRD#:7675791) ELECTED MANAGER
SABLE, MATTHEW D (CRD#:4835849) ELECTED MANAGER
SIEG, WILLIAM PHILIP (CRD#:1066159) ELECTED MANAGER
TEPPER, ERIC D. (CRD#:2242377) ELECTED MANAGER
VIENICK, PAUL (CRD#:2212982) ELECTED MANAGER
J.P. MORGAN BROKER-DEALER HOLDINGS INC.
MEMBER

AIDELSON, DAVID (CRD#: 7884539)
CHIEF LEGAL OFFICER

CEO, CHAIR, ELECTED MANAGER

CHIEF COMPLIANCE OFFICER - BROKER DEALER


CHOI, MICHAEL (CRD#: 6597789)
CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER





CHIEF OPERATING OFFICER






Licenses
53 U.S. States and Territories
B
Alabama

B
Alaska

B
Arizona

B
Arkansas

B
California

B
Colorado

B
Connecticut

B
Delaware

B
District of Columbia

B
Florida

B
Georgia

B
Hawaii

B
Idaho

B
Illinois

B
Indiana

B
Iowa

B
Kansas

B
Kentucky

B
Louisiana

B
Maine

B
Maryland

B
Massachusetts

B
Michigan

B
Minnesota

B
Mississippi

B
Missouri

B
Montana

B
Nebraska

B
Nevada

B
New Hampshire

B
New Jersey

B
New Mexico

B
New York

B
North Carolina

B
North Dakota

B
Ohio

B
Oklahoma

B
Oregon

B
Pennsylvania

B
Puerto Rico

B
Rhode Island

B
South Carolina

B
South Dakota

B
Tennessee

B
Texas

B
Utah

B
Vermont

B
Virgin Islands

B
Virginia

B
Washington

B
West Virginia

B
Wisconsin

B
Wyoming

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
And 25 others. See Detailed Report.
This firm conducts 24 types of business

This firm is affiliated with financial and investment institutions

This firm does have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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