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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Gregory Surat

Advisor at J.P. MORGAN SECURITIES LLC

Santa Clara, CA | Irvine, CA

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Search this name across graphsid dfx:ria:f9743d9a-b40c-e04e-5c43-0a507f9f6143

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Sep 28, 2005 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: Sep 26, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 26, 2005
First registration: Sep 28, 2005
Dual registered: yes, broker-dealer
Other names: Greg Surat
IAPD individual key: 4975703

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	Aug 28, 2025	n/a	yes	Irvine, CA\|Santa Clara, CA	Current employment
MORGAN STANLEY	Wirehouse	Jan 2, 2025	Aug 11, 2025	no	Walnut Creek, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Nov 21, 2019	Jan 10, 2024	no	CAMPBELL, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Apr 2, 2014	Oct 23, 2019	no	ARLINGTON, VA\|CUPERTINO, CA\|Menlo Park, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Aug 19, 2013	Apr 4, 2014	no	PALO ALTO, CA\|BURLINGAME, CA\|MENLO PARK, CA\|MOUNTAIN VIEW, CA\|SAN MATEO, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 28, 2008	Mar 4, 2013	no	Sunnyvale, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 1, 2006	Apr 17, 2008	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 28, 2005	May 24, 2006	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	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
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Aug 11, 2025	Aug 28, 2025	17	Firm change	Wirehouse to wirehouse
FIDELITY PERSONAL AND WORKPLACE ADVISORS	MORGAN STANLEY	Jan 10, 2024	Jan 2, 2025	358	Firm change	Ibd to wirehouse
E*TRADE CAPITAL MANAGEMENT, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Oct 23, 2019	Nov 21, 2019	29	Firm change	RIA to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	E*TRADE CAPITAL MANAGEMENT, LLC	Apr 4, 2014	Apr 2, 2014	-2	Firm change	Other
CHARLES SCHWAB & CO., INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Mar 4, 2013	Aug 19, 2013	168	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHARLES SCHWAB & CO., INC.	Apr 17, 2008	Apr 28, 2008	11	Firm change	Wirehouse to ibd
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 24, 2006	Dec 1, 2006	191	Firm change	Other

Relationships

Registered with (8)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Aug 28, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 2, 2025 to Aug 11, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Nov 21, 2019 to Jan 10, 2024factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 2, 2014 to Oct 23, 2019factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Aug 19, 2013 to Apr 4, 2014factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 28, 2008 to Mar 4, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 1, 2006 to Apr 17, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 28, 2005 to May 24, 2006factForm ADV

Dated events

Occurred
Aug 11, 2025
Advisor changed firm
Gregory Surat left Morgan Stanley for J.P. Morgan Securities Llc (registered 2025-08-28)
Form ADVobserved 4 days ago
Occurred
Jan 10, 2024
Advisor changed firm
Gregory Surat left Fidelity Personal And Workplace Advisors for Morgan Stanley (registered 2025-01-02)
Form ADVobserved 4 days ago