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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

RAUL RAFAEL MORENO

Advisor at J.P. MORGAN SECURITIES LLC

NEW ROCHELLE, NY | PORT CHESTER, NY

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Search this name across graphsid dfx:ria:c714c0ba-7935-b8ae-d818-fa8f909197e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 19, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 19, 2003
First registration: Mar 5, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4140096

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 13, 2021	n/a	yes	PORT CHESTER, NY\|PORT CHESTER, NY\|NEW ROCHELLE, NY	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Jun 10, 2019	Oct 11, 2021	no	WHITE PLAINS, NY\|Yonkers, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 15, 2017	Apr 9, 2019	no	NEW YORK, NY\|Gloucester, VA\|White Plains, NY\|Boca Raton, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	May 29, 2015	Sep 27, 2017	no	TARRYTOWN, NY\|OSSINING, NY\|ELMSFORD, NY\|ELMSFORD, NY\|ARMONK, NY\|OSSINING, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Mar 5, 2008	May 19, 2015	no	YONKERS, NY\|NEW ROCHELLE, NY\|MOUNT VERNON, NY\|Yonkers, NY\|YONKERS, NY\|MOUNT VERNON, NY\|YONKERS, NY\|NEW ROCHELLE, NY\|MOUNT VERNON, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	J.P. MORGAN SECURITIES LLC	Oct 11, 2021	Oct 13, 2021	2	Firm change	Ibd to wirehouse
CITIGROUP GLOBAL MARKETS INC.	PRUCO SECURITIES, LLC	Apr 9, 2019	Jun 10, 2019	62	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Sep 27, 2017	Sep 15, 2017	-12	Firm change	Other
HSBC SECURITIES (USA) INC.	J.P. MORGAN SECURITIES LLC	May 19, 2015	May 29, 2015	10	Firm change	Other

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 29, 2015 to Sep 27, 2017factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 10, 2019 to Oct 11, 2021factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 15, 2017 to Apr 9, 2019factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Mar 5, 2008 to May 19, 2015factForm ADV

Dated events

No dated event names this entity yet.