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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

PAMELA ABERCROMBIE CAPPS

Advisor at J.P. MORGAN SECURITIES LLC

CHICAGO, IL | Clayton, MO | St Louis, MO

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Search this name across graphsid dfx:ria:d9421803-98c8-e873-7ae2-f51eb7c6696e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 30, 2007 to Sep 15, 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: Oct 17, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 17, 2001
First registration: Aug 30, 2007
Dual registered: yes, broker-dealer
Other names: PAMELA JEAN ABERCROMBIE|PAMELA ABERCROMBIE CAPPS
IAPD individual key: 4454618

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 25, 2019	n/a	yes	St Louis, MO\|Clayton, MO\|CHICAGO, IL	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 13, 2012	Nov 6, 2019	no	Clayton, MO\|CHESTERFIELD, MO\|CHESTERFIELD, MO\|Clayton, MO\|CHESTERFIELD, MO	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 17, 2012	no	ST. LOUIS, MO	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 31, 2008	Jun 1, 2009	no	ST. LOUIS, MO	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Aug 30, 2007	Nov 14, 2008	no	CAPE GIRARDEAU, MO\|CAPE GIRARDEAU, MO	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
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Nov 6, 2019	Oct 25, 2019	-12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jul 17, 2012	Jul 13, 2012	-4	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WALNUT STREET SECURITIES, INC.	MORGAN STANLEY & CO. LLC	Nov 14, 2008	Oct 31, 2008	-14	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:79:MO:2019-11-06	Nov 6, 2019	Oct 25, 2019	CHESTERFIELD, MO	Firm change

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Oct 25, 2019 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 13, 2012 to Nov 6, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 17, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 31, 2008 to Jun 1, 2009factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Aug 30, 2007 to Nov 14, 2008factForm ADV

Dated events

No dated event names this entity yet.