at


Investment Adviser Firm Summary

J.P. MORGAN SECURITIES LLC (CRD# 79 / SEC# 8-35008, 801-3702)
Alternate Names: BEAR, STEARNS & CO. , BEAR, STEARNS & CO. INC. , CHASE INVESTMENTS , CHASE PRIVATE CLIENT , J.P. MORGAN , J.P. MORGAN PRIVATE BANK , J.P. MORGAN PRIVATE WEALTH MANAGEMENT , J.P. MORGAN SECURITIES , J.P. MORGAN SECURITIES INC. , J.P. MORGAN SECURITIES LLC , J.P. MORGAN WEALTH MANAGEMENT , J.P.MORGAN SECURITIES INC. , JPMORGAN CHASE , JPMORGAN H&Q

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/03/1965

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/18/1991
Alaska 07/21/1987
Arizona 10/02/2008
Arkansas 07/17/1987
California 07/08/1997
Colorado 02/02/2005
Connecticut 08/19/1997
Delaware 09/22/2003
District of Columbia 01/16/1994
Florida 06/25/1984
Georgia 01/02/1992
Hawaii 01/01/1988
Idaho 08/19/1987
Illinois 10/29/1985
Indiana 01/17/2003
Iowa 01/01/1999
Kansas 07/16/1987
Kentucky 11/21/1997
Louisiana 09/28/2001
Maine 01/01/1998
Maryland 11/07/1990
Michigan 02/02/2005
Minnesota 07/17/1987
Mississippi 05/03/2001
Missouri 11/20/1998
Montana 11/07/1997
Nebraska 07/31/1997
Nevada 12/13/1990
New Hampshire 09/24/1984
New Jersey 01/01/1961
New Mexico 08/19/1987
New York 04/11/1986
North Carolina 01/17/2003
North Dakota 07/16/1987
Ohio 09/27/2001
Oklahoma 01/01/1998
Oregon 01/28/2001
Pennsylvania 10/26/1981
Puerto Rico 09/16/1987
Rhode Island 01/01/1993
South Carolina 07/23/1987
South Dakota 05/15/1986
Tennessee 01/12/1998
Texas 01/29/1985
Utah 12/03/1990
Vermont 11/04/1994
Virgin Islands 03/30/2010
Virginia 07/24/1987
Washington 04/01/1988
West Virginia 07/15/1987
Wisconsin 07/01/1985
Wyoming 07/05/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser