J.P. MORGAN SECURITIES LLC

Latest filing: Sep 20, 2024 (40 days ago)
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AUM

$249,730,934,760
17% change vs. 1 year ago
33% change vs. 3 years ago
92% change vs. 5 years ago
333% change vs. 10 years ago

Employee Count

7,685
8% change vs. 1 year ago
9% change vs. 3 years ago
4% change vs. 5 years ago
32% change vs. 10 years ago

Main Office

NEW YORK, NY
383 MADISON AVE, NEW YORK, NY, UNITED STATES, 10179

Client AUM

Discretion AUM
Discretionary $191.6
Non-Discretionary $58.1
Total $249.7
Client AUM
Retail $229.6
Pooled $0.0
Institutional $20.1
Total $249.7
Retail Accounts AUM
Individual 891,897 $122.0
Average Individual AUM $136,837
HNW 134,892 $107.6
Average HNW AUM $797,549
Retail Total 1,026,789 $229.6
Average Retail AUM $223,637

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
J.P. MORGAN SECURITIES LLC NEW YORK-NY-USA $185.0

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $249.7
Retail SMA AUM $229.6
Institutional SMA AUM $20.1
Asset Class % AUM
Equity Exch 23% $57.4
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 14% $35.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 59% $147.3
Other Pools 0% $0.0
Cash 3% $7.5
Other 0% $0.0
Total 99% $247.2

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
J.P. MORGAN INVESTMENT MANAGEMENT INC. $2,549.1 107038
JPMORGAN ASSET MANAGEMENT (UK) LIMITED $365.7 135960
J.P. MORGAN PRIVATE INVESTMENTS INC. $292.9 110186
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC $86.3 108559
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC. $18.8 20989
55I, LLC $17.5 286620
HIGHBRIDGE CAPITAL MANAGEMENT, LLC $7.2 134776
BEAR STEARNS ASSET MANAGEMENT INC. $0.0 113359
BEIJING EQUITY INVESTMENT DEVELOPMENT MANAGEMENT CO., LTD. $0.0 162933
JPMORGAN ASSET MANAGEMENT (EUROPE) S.A R.L. $0.0 304190
JPMORGAN CHASE BANK N.A. $0.0 trust company -
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. $0.0 broker-dealer 102920
JPMORGAN DISTRIBUTION SERVICES, INC. $0.0 broker-dealer 104234

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

18 active

Name Title
COLLINS, JAMES MICHAEL CHIEF FINANCIAL OFFICER
SIPPEL, JASON EDWIN CEO, CHAIR, ELECTED MANAGER
DEMPSEY, PATRICK PAUL TREASURER
TEPPER, ERIC D. ELECTED MANAGER
JURY, CLAUDIA ELECTED MANAGER
KLION, ROGER CHIEF OPERATING OFFICER
SIMMONS, JOHN E ELECTED MANAGER
SIEG, WILLIAM PHILIP ELECTED MANAGER
BISESI, BRIAN J ELECTED MANAGER
MCCRUM, CARRIE ELECTED MANAGER
BARTOLOMEI, DANIELLE CHIEF COMPLIANCE OFFICER - BROKER DEALER
CHOI, MICHAEL CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER
FOLEY, KEVIN J ELECTED MANAGER
VIENICK, PAUL ELECTED MANAGER
AIDELSON, DAVID CHIEF LEGAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

11,641 active representatives found, showing 20 random

Name City State Exams Designations
LISA TOMLINSON NEW YORK NY S63|2014-04-02|S66|2016-06-30
FRANCES HERMES NEW YORK NY S63|2019-10-07|S65|2023-02-10
WALLIS TOSCARELLI NEW YORK NY S66|2022-09-02
KRISTIN DALY NEW YORK NY S63|2019-09-30|S65|2024-04-27
JENNIFER SENFT NEW YORK NY S63|2016-12-23|S66|2021-01-22
NICOLAS QUINTERO NEW YORK NY S66|2020-07-07
ANNA TRAN NEW YORK NY S66|2013-12-05
JON HONG NEW YORK NY S63|1993-05-17|S66|2017-01-19
BRYCE CALDWELL NEW YORK NY S66|2023-10-02
ROBERT FISHER NEW YORK NY S63|2018-09-24|S66|2022-04-08
LUKE HAMILTON NEW YORK NY S66|2015-12-12 CERTIFIED FINANCIAL PLANNER
HARRY VARON NEW YORK NY S63|2018-10-15|S65|2024-02-12
JAMES HOMFELDT NEW YORK NY S63|2021-04-30|S66|2022-01-13
SEAN YOUNG NEW YORK NY S63|2010-07-20|S66|2017-05-24 CERTIFIED FINANCIAL PLANNER
JASON SESCO NEW YORK NY S63|2006-05-30|S66|2008-11-21
FRANDY CRUZ NEW YORK NY S63|2020-01-13|S66|2022-11-14
TREVOR JOHNSON NEW YORK NY S63|2010-05-27|S65|2014-10-23
MADELINE MAUZY NEW YORK NY S63|2018-09-12|S65|2024-03-11
SEAN DOBBINS NEW YORK NY S63|2008-05-02|S66|2013-11-27
NANA ADAE NEW YORK NY S63|2004-09-09|S66|2007-07-16|S65|2023-05-11

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $249.7 $0.0 0% 7,685 0 0%
2024-04-02 $249.7 $0.0 0% 7,685 0 0%
2023-04-04 $212.9 $36.8 17% 7,098 587 8%
2022-04-01 $229.7 $20.0 9% 7,626 59 1%
2021-04-05 $188.3 $61.5 33% 7,038 647 9%
2020-04-01 $163.4 $86.3 53% 6,521 1,164 18%
2019-04-01 $130.3 $119.5 92% 7,383 302 4%
2018-04-02 $112.5 $137.2 122% 5,713 1,972 35%
2017-04-01 $81.6 $168.2 206% 5,093 2,592 51%
2016-04-01 $70.7 $179.0 253% 6,100 1,585 26%
2015-04-01 $69.4 $180.4 260% 6,100 1,585 26%
2014-04-01 $57.6 $192.1 333% 5,800 1,885 32%
2013-04-01 $43.6 $206.1 472% 5,700 1,985 35%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-07/21/1987, AL-04/18/1991, AR-07/17/1987, AZ-10/02/2008, CA-07/08/1997, CO-02/02/2005, CT-08/19/1997, DC-01/16/1994, DE-09/22/2003, FL-06/25/1984, GA-01/02/1992, HI-01/01/1988, IA-01/01/1999, ID-08/19/1987, IL-10/29/1985, IN-01/17/2003, KS-07/16/1987, KY-11/21/1997, LA-09/28/2001, MD-11/07/1990, ME-01/01/1998, MI-02/02/2005, MN-07/17/1987, MO-11/20/1998, MS-05/03/2001, MT-11/07/1997, NC-01/17/2003, ND-07/16/1987, NE-07/31/1997, NH-09/24/1984, NJ-01/01/1961, NM-08/19/1987, NV-12/13/1990, NY-04/11/1986, OH-09/27/2001, OK-01/01/1998, OR-01/28/2001, PA-10/26/1981, PR-09/16/1987, RI-01/01/1993, SC-07/23/1987, SD-05/15/1986, TN-01/12/1998, TX-01/29/1985, UT-12/03/1990, VA-07/24/1987, VI-03/30/2010, VT-11/04/1994, WA-04/01/1988, WI-07/01/1985, WV-07/15/1987, WY-07/05/2017
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
OTHER ACTIVITIES
BROKER DEALER
FUTURES MERCHANT
INSURANCE AGENT
SWAP DEALER

ADVDB.CO • SOURCE: SEC FORM ADV