DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

ARUNA SRIRAM

Advisor at J.P. MORGAN SECURITIES LLC

Arlington Heights, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e405aa5a-9c0a-c921-cb6a-417a7e680c66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2007 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: Mar 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Mar 1, 2004
First registration: Nov 30, 2007
Dual registered: yes, broker-dealer
Other names: ARUNA SHANKARAN
IAPD individual key: 4734273

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 1, 2012	n/a	yes	Arlington Heights, IL	Current employment
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 30, 2007	Oct 1, 2012	no	ARLINGTON HEIGHTS, IL\|BUFFALO GROVE, IL\|BUFFALO GROVE, IL\|ARLINGTON HEIGHTS, IL	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
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Relationships

Registered with (2)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Oct 1, 2012 to presentfactForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 30, 2007 to Oct 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e405aa5a-9c0a-c921-cb6a-417a7e680c66
First observed: Nov 30, 2007
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ARUNA SRIRAM

Advisor at J.P. MORGAN SECURITIES LLC

Arlington Heights, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e405aa5a-9c0a-c921-cb6a-417a7e680c66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

J.P. MORGAN SECURITIES LLC

Wirehouse

Oct 1, 2012

n/a

yes

Arlington Heights, IL

Current employment

CHASE INVESTMENT SERVICES CORP.

Former SEC adviser

Nov 30, 2007

Oct 1, 2012

ARLINGTON HEIGHTS, IL|BUFFALO GROVE, IL|BUFFALO GROVE, IL|ARLINGTON HEIGHTS, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CHASE INVESTMENT SERVICES CORP.

J.P. MORGAN SECURITIES LLC

Oct 1, 2012

Bulk transfer

Other