Hedge Fund Database

J.P. MORGAN SECURITIES LLC

Adviser information for J.P. MORGAN SECURITIES LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 7685
Investment Advisory/Research 7426
Registered Broker-Dealer Representatives 7464
Registered State Investment Advisers 7426
Licensed Agents of an Insurance Company 6024
No. of Firms/People that Solicit Clients 8

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 869,968 $191.6B
Non-Discretionary 164,104 $58.1B
Total 1.0M $249.7B

Clients

Type Number RAUM
Individuals 891,897 $122.0B
HNW Individuals 134,892 $107.6B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 1,799 $1.7B
Charitable organizations 378 $1.8B
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 10 $21.4M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 4,959 $16.6B
Other <5 $265,893
Type Number
No. of Non-RAUM Clients 262026
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 14000

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFEE COMPUTED BASED ON CENTS-PER-SHARE-DEPOSITED-INTO-THE-ACCOUNT
Other Business Activities Broker-dealerFutures commission merchantInsurance broker or agentRegistered security-based swap dealer

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 189.7B
Portfolio Manager 0
Both for Same 64.6B
Portfolio Manager to Program Sponsor
PORTFOLIO MANAGER PROGRAM J.P. MORGAN SECURITIES LLC
ADVISORY PROGRAM J.P. MORGAN SECURITIES LLC
STRATEGIC INVESTMENT SERVICES PROGRAM (STRATIS) J.P. MORGAN SECURITIES LLC

Identifiers

SEC RIA File Number 801-3702
SEC ERA File Number 801-3702
SEC CIK Numbers 1362244, 782124
SEC CRD Numbers 79
Legal Entity Identifier ZBUT11V806EZRVTWT807

Principal Office

383 MADISON AVE
NEW YORK
NY
United States
Monday - Friday, 9 A.M. TO 5 P.M.
Tel: 800-999-2000, Fax: None

Websites

twitter.com/jpmwealth www.facebook.com/jpmorgan www.youtube.com/jpmorgan www.linkedin.com/showcase/jpmorganwealthmanagement/ www.chase.com www.jpmorgan.com www.instagram.com/jpmorgan/

Chief Compliance Officer

MICHAEL CHOI
CCO
390 MADISON AVE
FLOOR 05
NEW YORK
NY
United States
Tel: 212-464-1834
(Full email address available in API data)

Regulatory Contact

MATTHEW ALTADONNA
237 PARK AVE
FLOOR 07
NEW YORK
NY
United States
Tel: 212-623-3516
(Full email address available in API data)

Industry Affiliates

55IP Other investment adviser, including financial planners
BEAR STEARNS ASSET MANAGEMENT INC. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
BEIJING EQUITY INVESTMENT DEVELOPMENT MANAGEMENT CO., LTD. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
HIGHBRIDGE CAPITAL MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
J.P. MORGAN INVESTMENT MANAGEMENT INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles
J.P. MORGAN PRIVATE INVESTMENTS INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
JPMORGAN ALTERNATIVE ASSET MANAGEMENT Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles
JPMORGAN ASSET MANAGEMENT (EUROPE) S.A.R.L. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
JPMORGAN ASSET MANAGEMENT (UK) LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
JPMORGAN CHASE BANK N.A. Other investment adviser, including financial plannersRegistered security-based swap dealerCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companySponsor, GP, manager of pooled investment vehicles
JPMORGAN DISTRIBUTION SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
COLLINS, JAMES MICHAEL Individual – CHIEF FINANCIAL OFFICER 06/2008 < 5%
J.P. MORGAN BROKER-DEALER HOLDINGS INC. Domestic Entity – MEMBER 09/2010 > 75%
JP MORGAN CHASE & CO. Domestic Entity JPMORGAN CHASE HOLDINGS LLC MEMBER 11/2016 > 75%
SIPPEL, JASON EDWIN Individual – CEO, CHAIR, ELECTED MANAGER 01/2013 < 5%
DEMPSEY, PATRICK PAUL Individual – TREASURER 08/2013 < 5%
JPMORGAN CHASE HOLDINGS LLC Domestic Entity J.P. MORGAN BROKER-DEALER HOLDINGS INC. STOCKHOLDER 11/2016 > 75%
TEPPER, ERIC D. Individual – ELECTED MANAGER 08/2017 < 5%
JURY, CLAUDIA Individual – ELECTED MANAGER 02/2020 < 5%
KLION, ROGER Individual – CHIEF OPERATING OFFICER 10/2020 < 5%
SIMMONS, JOHN E Individual – ELECTED MANAGER 02/2021 < 5%
SIEG, WILLIAM PHILIP Individual – ELECTED MANAGER 08/2021 < 5%
BISESI, BRIAN J Individual – ELECTED MANAGER 02/2022 < 5%
MCCRUM, CARRIE Individual – ELECTED MANAGER 09/2023 < 5%
BARTOLOMEI, DANIELLE Individual – CHIEF COMPLIANCE OFFICER - BROKER DEALER 09/2023 < 5%
CHOI, MICHAEL Individual – CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER 09/2023 < 5%
FOLEY, KEVIN J Individual – ELECTED MANAGER 02/2024 < 5%
VIENICK, PAUL Individual – ELECTED MANAGER 02/2024 < 5%
AIDELSON, DAVID Individual – CHIEF LEGAL OFFICER 02/2024 < 5%

No. Employees, Historic

8,0004,000020192020202120222023202420257383 on 4/9/20197383 on 4/10/20197383 on 5/6/20197383 on 5/22/20197383 on 6/6/20197383 on 6/7/20197383 on 7/9/20197383 on 7/26/20197383 on 8/9/20197383 on 9/6/20197383 on 9/16/20197383 on 10/16/20197383 on 10/22/20197383 on 11/1/20197383 on 11/15/20197383 on 11/22/20197383 on 12/17/20197383 on 12/18/20197383 on 12/20/20197383 on 1/17/20207383 on 2/5/20207383 on 2/13/20207383 on 3/4/20206521 on 3/26/20206521 on 4/1/20206521 on 4/7/20206521 on 6/23/20206521 on 6/24/20206521 on 7/14/20206521 on 7/23/20206521 on 9/11/20206521 on 10/16/20206521 on 10/23/20206521 on 11/4/20206521 on 11/6/20206521 on 11/24/20206521 on 12/15/20206521 on 2/5/20216521 on 2/26/20216521 on 3/5/20216521 on 3/19/20217038 on 3/30/20217038 on 4/8/20217038 on 4/14/20217038 on 6/1/20217038 on 6/3/20217038 on 6/30/20217038 on 7/27/20217038 on 8/11/20217038 on 8/12/20217038 on 8/27/20217038 on 8/31/20217038 on 9/9/20217038 on 9/21/20217038 on 9/30/20217038 on 11/1/20217038 on 11/16/20217038 on 12/10/20217038 on 12/16/20217038 on 1/4/20227038 on 1/14/20227038 on 1/18/20227038 on 2/1/20227038 on 2/23/20227626 on 3/30/20227626 on 5/26/20227626 on 7/22/20227626 on 8/4/20227626 on 9/2/20227626 on 10/14/20227626 on 11/4/20227626 on 11/16/20227626 on 1/19/20237626 on 1/27/20237626 on 2/24/20237626 on 3/1/20237098 on 3/30/20237098 on 4/18/20237098 on 4/27/20237098 on 5/19/20237098 on 6/9/20237098 on 7/11/20237098 on 7/31/20237098 on 8/4/20237098 on 9/8/20237098 on 9/29/20237098 on 10/17/20237098 on 10/31/20237098 on 11/15/20237098 on 12/8/20237098 on 1/19/20247098 on 1/30/20247098 on 2/16/20247098 on 3/5/20247685 on 3/28/2024

RAUM, Historic

300B150B02019202020212022202320242025130276080678 on 4/9/2019130276080678 on 4/10/2019130276080678 on 5/6/2019130276080678 on 5/22/2019130276080678 on 6/6/2019130276080678 on 6/7/2019130276080678 on 7/9/2019130276080678 on 7/26/2019130276080678 on 8/9/2019130276080678 on 9/6/2019130276080678 on 9/16/2019130276080678 on 10/16/2019130276080678 on 10/22/2019130276080678 on 11/1/2019130276080678 on 11/15/2019130276080678 on 11/22/2019130276080678 on 12/17/2019130276080678 on 12/18/2019130276080678 on 12/20/2019130276080678 on 1/17/2020130276080678 on 2/5/2020130276080678 on 2/13/2020130276080678 on 3/4/2020163396095133 on 3/26/2020163396095133 on 4/1/2020163396095133 on 4/7/2020163396095133 on 6/23/2020163396095133 on 6/24/2020163396095133 on 7/14/2020163396095133 on 7/23/2020163396095133 on 9/11/2020163396095133 on 10/16/2020163396095133 on 10/23/2020163396095133 on 11/4/2020163396095133 on 11/6/2020163396095133 on 11/24/2020163396095133 on 12/15/2020163396095133 on 2/5/2021163396095133 on 2/26/2021163396095133 on 3/5/2021163396095133 on 3/19/2021188264289046 on 3/30/2021188264289046 on 4/8/2021188264289046 on 4/14/2021188264289046 on 6/1/2021188264289046 on 6/3/2021188264289046 on 6/30/2021188264289046 on 7/27/2021188264289046 on 8/11/2021188264289046 on 8/12/2021188264289046 on 8/27/2021188264289046 on 8/31/2021188264289046 on 9/9/2021188264289046 on 9/21/2021188264289046 on 9/30/2021188264289046 on 11/1/2021188264289046 on 11/16/2021188264289046 on 12/10/2021188264289046 on 12/16/2021188264289046 on 1/4/2022188264289046 on 1/14/2022188264289046 on 1/18/2022188264289046 on 2/1/2022188264289046 on 2/23/2022229724761175 on 3/30/2022229724761175 on 5/26/2022229724761175 on 7/22/2022229724761175 on 8/4/2022229724761175 on 9/2/2022229724761175 on 10/14/2022229724761175 on 11/4/2022229724761175 on 11/16/2022229724761175 on 1/19/2023229724761175 on 1/27/2023229724761175 on 2/24/2023229724761175 on 3/1/2023212928874840 on 3/30/2023212928874840 on 4/18/2023212928874840 on 4/27/2023212928874840 on 5/19/2023212928874840 on 6/9/2023212928874840 on 7/11/2023212928874840 on 7/31/2023212928874840 on 8/4/2023212928874840 on 9/8/2023212928874840 on 9/29/2023212928874840 on 10/17/2023212928874840 on 10/31/2023212928874840 on 11/15/2023212928874840 on 12/8/2023212928874840 on 1/19/2024212928874840 on 1/30/2024212928874840 on 2/16/2024212928874840 on 3/5/2024249730934760 on 3/28/2024

No. Clients, Historic

2M1M02019202020212022202320242025602146 on 4/9/2019602146 on 4/10/2019602146 on 5/6/2019602146 on 5/22/2019602146 on 6/6/2019602146 on 6/7/2019602146 on 7/9/2019602146 on 7/26/2019602146 on 8/9/2019602146 on 9/6/2019602146 on 9/16/2019602146 on 10/16/2019602146 on 10/22/2019602146 on 11/1/2019602146 on 11/15/2019602146 on 11/22/2019602146 on 12/17/2019602146 on 12/18/2019602146 on 12/20/2019602146 on 1/17/2020602146 on 2/5/2020602146 on 2/13/2020602146 on 3/4/2020660063 on 3/26/2020660063 on 4/1/2020660063 on 4/7/2020660063 on 6/23/2020660063 on 6/24/2020660063 on 7/14/2020660063 on 7/23/2020660063 on 9/11/2020660063 on 10/16/2020660063 on 10/23/2020660063 on 11/4/2020660063 on 11/6/2020660063 on 11/24/2020660063 on 12/15/2020660063 on 2/5/2021660063 on 2/26/2021660063 on 3/5/2021660063 on 3/19/2021691187 on 3/30/2021691187 on 4/8/2021691187 on 4/14/2021691187 on 6/1/2021691187 on 6/3/2021691187 on 6/30/2021691187 on 7/27/2021691187 on 8/11/2021691187 on 8/12/2021691187 on 8/27/2021691187 on 8/31/2021691187 on 9/9/2021691187 on 9/21/2021691187 on 9/30/2021691187 on 11/1/2021691187 on 11/16/2021691187 on 12/10/2021691187 on 12/16/2021691187 on 1/4/2022691187 on 1/14/2022691187 on 1/18/2022691187 on 2/1/2022691187 on 2/23/2022855839 on 3/30/2022855839 on 5/26/2022855839 on 7/22/2022855839 on 8/4/2022855839 on 9/2/2022855839 on 10/14/2022855839 on 11/4/2022855839 on 11/16/2022855839 on 1/19/2023855839 on 1/27/2023855839 on 2/24/2023855839 on 3/1/2023982795 on 3/30/2023982795 on 4/18/2023982795 on 4/27/2023982795 on 5/19/2023982795 on 6/9/2023982795 on 7/11/2023982795 on 7/31/2023982795 on 8/4/2023982795 on 9/8/2023982795 on 9/29/2023982795 on 10/17/2023982795 on 10/31/2023982795 on 11/15/2023982795 on 12/8/2023982795 on 1/19/2024982795 on 1/30/2024982795 on 2/16/2024982795 on 3/5/20241033936 on 3/28/2024