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Christopher N Smith
CHRISTOPHER NEIL SMITH
CRD#: 5753907
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1656 N California Blvd
Walnut Creek, CA 94596
Registration History
201020122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2013 - 2023 (10 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2011 (<1 year)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2010 - 2011 (<1 year)
Disclosure(s)
View By:
5/24/2011
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 8/15/2024

B
Montana 8/15/2024

B
Alaska 8/16/2024

B
Nebraska 8/15/2024

B
Arizona 8/23/2024

B
Nevada 8/15/2024

B
Arkansas 8/23/2024

B
New Hampshire 8/16/2024

B
California 9/29/2023

B
New Jersey 8/15/2024

IA
California 3/28/2024

B
New Mexico 8/15/2024

B
Colorado 8/15/2024

B
New York 8/15/2024

B
Connecticut 8/15/2024

B
North Carolina 8/19/2024

B
Delaware 8/21/2024

B
North Dakota 8/19/2024

B
District of Columbia 8/20/2024

B
Ohio 8/15/2024

B
Florida 8/15/2024

B
Oklahoma 8/19/2024

B
Georgia 8/15/2024

B
Oregon 8/15/2024

B
Hawaii 11/19/2024

B
Pennsylvania 8/15/2024

B
Idaho 8/15/2024

B
Puerto Rico 8/30/2024

B
Illinois 10/18/2024

B
Rhode Island 8/15/2024

B
Indiana 8/16/2024

B
South Carolina 8/20/2024

B
Iowa 8/20/2024

B
South Dakota 8/20/2024

B
Kansas 8/15/2024

B
Tennessee 8/15/2024

B
Kentucky 8/20/2024

B
Texas 8/16/2024

B
Louisiana 8/20/2024

B
Utah 8/15/2024

B
Maine 8/15/2024

B
Vermont 8/15/2024

B
Maryland 9/9/2024

B
Virgin Islands 8/20/2024

B
Massachusetts 8/14/2024

B
Virginia 8/15/2024

B
Michigan 8/16/2024

B
Washington 8/16/2024

B
Minnesota 8/15/2024

B
West Virginia 8/21/2024

B
Mississippi 8/21/2024

B
Wisconsin 8/15/2024

B
Missouri 8/20/2024

B
Wyoming 8/15/2024

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 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)
1656 N California Blvd, Walnut Creek, CA 94596
Registered with this firm since 3/28/2024

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1656 N California Blvd, Walnut Creek, CA 94596
Registered with this firm since 9/29/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/11/2013 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) WALNUT CREEK, CA
B
01/03/2011 - 06/09/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAFAYETTE, CA
B
03/22/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LAFAYETTE, CA
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B
Broker
IA
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.