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Sophia Wasserman
Sophia Anne Wasserman
CRD#: 7782242
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 57 Northern Blvd
Floor 02
Greenvale, NY 11548
Registration History
Oct2023AprJulOct2024AprJulOct2025AprJulOct2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 9/11/2023

B
Nevada 9/11/2023

B
Alaska 9/11/2023

B
New Hampshire 9/11/2023

B
Arizona 9/11/2023

B
New Jersey 9/11/2023

B
Arkansas 9/11/2023

B
New Mexico 9/11/2023

B
California 9/11/2023

B
New York 9/11/2023

B
Colorado 8/24/2023

IA
New York 9/11/2023

B
Connecticut 9/11/2023

B
North Carolina 9/11/2023

B
Delaware 9/11/2023

B
North Dakota 9/11/2023

B
District of Columbia 8/24/2023

B
Ohio 9/11/2023

B
Florida 8/24/2023

B
Oklahoma 9/11/2023

B
Georgia 9/11/2023

B
Oregon 9/11/2023

B
Hawaii 9/11/2023

B
Pennsylvania 9/11/2023

B
Idaho 9/11/2023

B
Puerto Rico 8/24/2023

B
Illinois 9/11/2023

B
Rhode Island 9/11/2023

B
Indiana 9/11/2023

B
South Carolina 9/11/2023

B
Iowa 9/11/2023

B
South Dakota 9/11/2023

B
Kansas 9/11/2023

B
Tennessee 9/11/2023

B
Kentucky 9/11/2023

B
Texas 9/11/2023

B
Louisiana 8/24/2023

IA
Texas 9/11/2023

B
Maine 9/11/2023

B
Utah 9/11/2023

B
Maryland 8/24/2023

B
Vermont 9/11/2023

B
Massachusetts 9/11/2023

B
Virgin Islands 9/11/2023

B
Michigan 9/11/2023

B
Virginia 9/11/2023

B
Minnesota 9/11/2023

B
Washington 9/11/2023

B
Mississippi 9/11/2023

B
West Virginia 9/11/2023

B
Missouri 9/11/2023

B
Wisconsin 9/11/2023

B
Montana 9/11/2023

B
Wyoming 9/11/2023

B
Nebraska 9/11/2023

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)
57 Northern Blvd Floor 02, Greenvale, NY 11548
1985 Marcus Ave, Floor 1, New Hyde Park, NY 11042
Registered with this firm since 9/11/2023

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
57 Northern Blvd Floor 02, Greenvale, NY 11548
1985 Marcus Ave, Floor 1, New Hyde Park, NY 11042
Registered with this firm since 8/24/2023

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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.