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SOR HER
Spencer Her
CRD#: 5943397
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 8362 Tamarack Vlg Ste 125
Woodbury, MN 55125
Registration History
201220142016201820202022202420262 FIRMS2023 - Present (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2023 (10 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2011 - 2013 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - 2023 (9 years)
License(s)

State Registrations

B
Arizona 4/10/2024

B
Minnesota 10/26/2023

B
California 10/8/2024

IA
Minnesota 10/26/2023

B
Delaware 4/15/2024

B
North Carolina 10/26/2023

B
Florida 10/8/2024

B
Texas 10/26/2023

B
Idaho 11/13/2024

IA
Texas 10/26/2023

B
Illinois 10/8/2024

B
Wisconsin 4/4/2024

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)
8362 Tamarack Vlg Ste 125, Woodbury, MN 55125
7010 Valley Creek Plz, Woodbury, MN 55125
Registered with this firm since 10/26/2023

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
8362 Tamarack Vlg Ste 125, Woodbury, MN 55125
7010 Valley Creek Plz, Woodbury, MN 55125
Registered with this firm since 10/26/2023

Previous Registration(s)
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IA
02/11/2014 - 10/10/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MINNEAPOLIS, MN
B
10/17/2013 - 10/10/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MINNEAPOLIS, MN
B
07/14/2011 - 09/17/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MINNEAPOLIS, MN
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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.