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Advisor at J.P. MORGAN SECURITIES LLC
Chicago, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | Wirehouse | Apr 11, 2018 | n/a | yes | Chicago, IL | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Aug 17, 2017 | Mar 29, 2018 | no | BERWYN, IL | Previous registration |
| 3D ASSET MANAGEMENT, INC. | Former SEC adviser | Jun 7, 2014 | Dec 2, 2015 | no | CHICAGO, IL|HARTFORD, CT | Previous registration |
| GUGGENHEIM INVESTMENTS | Asset manager | Mar 7, 2005 | Nov 4, 2008 | no | CHICAGO, IL|LISLE, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | J.P. MORGAN SECURITIES LLC | Mar 29, 2018 | Apr 11, 2018 | 13 | Firm change | Ibd to wirehouse |
| 3D ASSET MANAGEMENT, INC. | CETERA INVESTMENT ADVISERS LLC | Dec 2, 2015 | Aug 17, 2017 | 624 | Firm change after gap | Other |
| GUGGENHEIM INVESTMENTS | 3D ASSET MANAGEMENT, INC. | Nov 4, 2008 | Jun 7, 2014 | 2,041 | Firm change after gap | Other |