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J.P. MORGAN SECURITIES LLC

NEW YORK, NY · CRD 79 · IAPD ↗ · wealthpartners.jpmorgan.com · 800-999-2000

$429.69BRegulatory AUM
8479Advisory reps
8703Employees
407036Clients
More than 500Planning clients
0Private funds
52States
165Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
October 2026 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (164 -> 165).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
August 2026 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (163 -> 164).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2026 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (162 -> 163).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (161 -> 162).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — J.P. MORGAN SECURITIES LLC added office(s): 3559 -> 3566 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2026 — J.P. MORGAN SECURITIES LLC grew from 8097 to 8479 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 2 (187 -> 189).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
August 2025 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (186 -> 187).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2025 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 7 (179 -> 186).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — J.P. MORGAN SECURITIES LLC added office(s): 3411 -> 3559 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
April 2025 — J.P. MORGAN SECURITIES LLC reported RAUM up 41% ($249.73B -> $352.61B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2025 — J.P. MORGAN SECURITIES LLC grew from 7426 to 8097 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2024 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 9 (238 -> 247).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
October 2024 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (237 -> 238).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
September 2024 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 11 (226 -> 237).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2024 — J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 3 (223 -> 226).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — J.P. MORGAN SECURITIES LLC added office(s): 3364 -> 3411 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2024 — J.P. MORGAN SECURITIES LLC grew from 6784 to 7426 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.