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Sara Neil
SARA KATHARINE NEIL
CRD#: 2600079
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2620 EAST CAMELBACK ROAD
PHOENIX, AZ 85016
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BCOUNTRYWIDE INVESTMENT SERVICE... (CRD# 103919)2005 - 2009 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2003 - 2005 (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - 2002 (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)1995 - 2000 (4 years)
License(s)

State Registrations

B
Alabama 6/20/2014

B
Nebraska 6/20/2014

B
Alaska 6/20/2014

B
Nevada 6/20/2014

B
Arizona 10/1/2012

B
New Hampshire 6/20/2014

IA
Arizona 10/1/2012

B
New Jersey 6/20/2014

B
Arkansas 6/20/2014

B
New Mexico 6/20/2014

B
California 6/20/2014

B
New York 6/20/2014

B
Colorado 6/20/2014

IA
New York 5/3/2021

IA
Colorado 9/11/2020

B
North Carolina 6/20/2014

B
Connecticut 6/20/2014

B
North Dakota 6/20/2014

B
Delaware 6/20/2014

B
Ohio 6/20/2014

B
District of Columbia 6/20/2014

IA
Ohio 1/19/2022

B
Florida 6/20/2014

B
Oklahoma 6/20/2014

B
Georgia 6/20/2014

B
Oregon 6/20/2014

B
Hawaii 6/20/2014

B
Pennsylvania 6/20/2014

B
Idaho 6/20/2014

B
Puerto Rico 6/20/2014

B
Illinois 6/20/2014

B
Rhode Island 6/20/2014

B
Indiana 6/20/2014

B
South Carolina 6/20/2014

B
Iowa 6/20/2014

B
South Dakota 6/20/2014

B
Kansas 6/20/2014

B
Tennessee 6/20/2014

B
Kentucky 6/20/2014

B
Texas 6/20/2014

B
Louisiana 6/20/2014

IA
Texas 6/25/2014

B
Maine 6/20/2014

B
Utah 6/20/2014

B
Maryland 6/20/2014

B
Vermont 6/20/2014

B
Massachusetts 6/20/2014

B
Virgin Islands 6/5/2015

B
Michigan 6/20/2014

B
Virginia 6/20/2014

B
Minnesota 6/20/2014

B
Washington 6/20/2014

B
Mississippi 6/20/2014

B
West Virginia 6/20/2014

B
Missouri 6/20/2014

B
Wisconsin 6/20/2014

B
Montana 6/20/2014

B
Wyoming 6/20/2014

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
2620 EAST CAMELBACK ROAD, PHOENIX, AZ 85016
Scottsdale, AZ
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2620 EAST CAMELBACK ROAD, PHOENIX, AZ 85016
Scottsdale, AZ
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/04/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PHOENIX, AZ
B
09/27/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PHOENIX, AZ
IA
10/23/2009 - 08/20/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
B
10/23/2009 - 08/20/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
IA
05/12/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) WESTLAKE VILLAGE, CA
B
03/17/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) WESTLAKE VILLAGE, CA
B
11/01/2005 - 03/23/2009 COUNTRYWIDE INVESTMENT SERVICES, INC. (CRD#:103919) CHANDLER, AZ
B
06/18/2003 - 10/20/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
08/18/2000 - 02/07/2002 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
08/17/1995 - 07/07/2000 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
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Broker
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Investment Adviser
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.