J.P. MORGAN SECURITIES LLCJ.P. MORGAN SECURITIES LLC CRD# 79 SEC# 8-35008 Main Office Location 383 MADISON AVENUE NEW YORK, NY 10179 Regulated by FINRA New York Office Mailing Address

BrokerCheck Report

J.P. MORGAN SECURITIES LLC

Section Title

Report Summary

Firm History

CRD# 79

1

10

Firm Profile 2 - 9

Page(s)

Firm Operations 11 - 54

Disclosure Events 55

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CRD# 79

SEC# 8-35008

Main Office Location

383 MADISON AVENUENEW YORK, NY 10179Regulated by FINRA New York Office

Mailing Address

1111 POLARIS PKWYFLOOR 2JCOLUMBUS, OH 43240

This firm is a brokerage firm and an investmentadviser firm. For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:

Business Telephone Number

212-272-2000

https://www.adviserinfo.sec.gov

Report Summary for this Firm

This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.

Disclosure Events

Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.

Are there events disclosed about this firm? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 335

Civil Event 7

Arbitration 137

Firm Profile

This firm is classified as a limited liability company.

This firm was formed in Delaware on 08/12/1985.

Its fiscal year ends in December.

Firm History

Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.

Firm Operations

Is this brokerage firm currently suspended with anyregulator? No

This firm conducts 24 types of businesses.

This firm is affiliated with financial or investmentinstitutions.

This firm does not have referral or financialarrangements with other brokers or dealers.

This firm is registered with:

• the SEC• 23 Self-Regulatory Organizations• 53 U.S. states and territories

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This firm is classified as a limited liability company.

This firm was formed in Delaware on 08/12/1985.

CRD#

This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.

Firm Profile

Firm Names and Locations

Its fiscal year ends in December.


SEC#

79

8-35008

Main Office Location

Mailing Address

Business Telephone Number

Doing business as J.P. MORGAN SECURITIES LLC

212-272-2000

Regulated by FINRA New York Office

383 MADISON AVENUENEW YORK, NY 10179

1111 POLARIS PKWYFLOOR 2JCOLUMBUS, OH 43240


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This section provides information relating to all direct owners and executive officers of the brokerage firm.

Direct Owners and Executive Officers

Firm Profile

Position

Percentage of Ownership

Is this a public reportingcompany?

Position Start Date

Does this owner direct themanagement or policies ofthe firm?

J.P. MORGAN BROKER-DEALER HOLDINGS INC.

STOCKHOLDER

75% or more

Yes

Domestic Entity

09/2010

Yes

Is this a domestic or foreignentity or an individual?

Legal Name & CRD# (if any):

Position



Position Start Date


BELL, JEREMY S

CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER

Less than 5%

No

Individual

11/2019

No

4268755



Position


Position Start Date

COLLINS, JAMES MICHAEL

CHIEF FINANCIAL OFFICER

Less than 5%

Individual

06/2008

2725065






Direct Owners and Executive Officers (continued)

Firm Profile




Less than 5%

No

No

Position



Position Start Date


DEMPSEY, PATRICK PAUL

TREASURER

Less than 5%

No

Individual

08/2013

No

2830362



Position



Position Start Date


DUGGER, CHRISTINA B

CHIEF COMPLIANCE OFFICER - BROKER DEALER

Less than 5%

No

Individual

11/2019

No

5599227



FREILICH, WILLIAM HOWARD

2203801






Firm Profile

Position



Position Start Date


CHIEF LEGAL OFFICER

Less than 5%

No

Individual

05/2013

No

2203801


Position



Position Start Date


GELLER, JEREMY ROSS

ELECTED MANAGER AND MEMBER

Less than 5%

No

Individual

12/2018

Yes

4466173



Position


Position Start Date


HARRIS, MITCHELL HOWARD

CHIEF OPERATING OFFICER

Less than 5%

Individual

08/2019

Yes

2321424







Firm Profile



No

Yes

Position



Position Start Date


HARVEY, CHRISTOPHER LEO


Less than 5%

No

Individual

05/2017

Yes

2948006



Position



Position Start Date


HOLMES, ROBERT CULLUM


Less than 5%

No

Individual

03/2013

Yes

2948416



SIPPEL, JASON EDWIN

Individual

1718602







Firm Profile

Position



Position Start Date


CEO, CHAIRMAN, ELECTED MANAGER AND MEMBER

Less than 5%

No

Individual

01/2013

Yes


Position



Position Start Date


STEIN, ERIC JOHN SR


Less than 5%

No

Individual

07/2014

Yes

2630215



Position


Position Start Date


TEPPER, ERIC DAVID


Less than 5%

Individual

08/2017

Yes

2242377







Firm Profile



No

Yes

Position



Position Start Date


VEITH, RONALD J

EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER - PRINCIPALOPTIONS TRADING

Less than 5%

No

Individual

12/2019

No

5109887



Position



Position Start Date


WINKELMAN, AMANDA DENISE


Less than 5%

No

Individual

10/2019

No

2352562






This section provides information relating to any indirect owners of the brokerage firm.

Indirect Owners

Firm Profile

JP MORGAN CHASE & CO.

STOCK HOLDER

JPMORGAN CHASE HOLDINGS LLC

75% or more

Yes

Domestic Entity

11/2016

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established




JPMORGAN CHASE HOLDINGS LLC

STOCKHOLDER

J.P. MORGAN BROKER-DEALER HOLDINGS INC.

75% or more

Yes

Domestic Entity

11/2016

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established







Firm History

This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.




Firm Operations

RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.

This firm is currently registered with the SEC, 23 SROs and 53 U.S. states and territories.

SEC Registration Questions

This firm is registered with the SEC as:

A broker-dealer:

A broker-dealer and government securities broker or dealer:

A government securities broker or dealer only:

This firm has ceased activity as a government securities broker or dealer:

Yes

Yes

No

No

Federal Regulator Status Date Effective

SEC Approved 12/13/1985

Self-Regulatory Organization Status Date Effective

FINRA Approved 12/17/1936

BOX Exchange LLC Approved 05/07/2012

Cboe BYX Exchange, Inc. Approved 09/15/2010

Cboe BZX Exchange, Inc. Approved 08/18/2008

Cboe C2 Exchange, Inc. Approved 11/18/2010

Cboe EDGA Exchange, Inc. Approved 05/14/2010

Cboe EDGX Exchange, Inc. Approved 05/14/2010

Cboe Exchange, Inc. Approved 06/17/1981

Investors' Exchange LLC Approved 07/25/2016

MIAX Emerald, LLC Approved 03/01/2019

MIAX PEARL, LLC Approved 02/06/2017

Miami International Securities Exchange,LLC

Approved 12/07/2012

NYSE American LLC Approved 02/25/1988

NYSE Arca, Inc. Approved 09/22/1965

NYSE Chicago, Inc. Approved 12/19/1940




NYSE National, Inc. Approved 05/18/2018

Nasdaq BX, Inc. Approved 01/12/2009

Nasdaq GEMX, LLC Approved 07/29/2013

Nasdaq ISE, LLC Approved 05/01/2000

Nasdaq MRX, LLC Approved 02/10/2016

Nasdaq PHLX LLC Approved 01/06/1977

Nasdaq Stock Market Approved 07/12/2006

New York Stock Exchange Approved 11/17/1982


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Firm Operations

Registrations (continued)

U.S. States &Territories

Status Date Effective

Alabama Approved 10/22/1981

Alaska Approved 12/19/1979

Arizona Approved 03/20/1970

Arkansas Approved 07/05/1979

California Approved 10/29/1985

Colorado Approved 02/01/1983

Connecticut Approved 10/30/1985

Delaware Approved 10/06/1981

District of Columbia Approved 04/21/1983

Florida Approved 04/27/1983

Georgia Approved 09/21/1981

Hawaii Approved 10/29/1985

Idaho Approved 07/19/1971

Illinois Approved 08/31/1981

Indiana Approved 10/20/1981

Iowa Approved 07/08/1983

Kansas Approved 04/25/1975

Kentucky Approved 07/16/1982

Louisiana Approved 04/20/1983

Maine Approved 02/08/1984

Maryland Approved 10/03/1981

Massachusetts Approved 07/31/1981

Michigan Approved 02/02/1983

Minnesota Approved 07/15/1982

Mississippi Approved 10/14/1981

Missouri Approved 07/15/1983

Montana Approved 04/20/1983

Nebraska Approved 10/08/1981

Nevada Approved 07/13/1983

New Hampshire Approved 02/01/1983

New Jersey Approved 07/11/1983

New Mexico Approved 10/07/1981

New York Approved 01/02/1985

U.S. States &Territories

Status Date Effective

North Carolina Approved 09/12/2008

North Dakota Approved 10/21/1981

Ohio Approved 07/16/1982

Oklahoma Approved 07/17/1982

Oregon Approved 10/24/1981

Pennsylvania Approved 10/24/1945

Puerto Rico Approved 09/01/1984

Rhode Island Approved 02/01/1983

South Carolina Approved 10/28/1981

South Dakota Approved 07/15/1982

Tennessee Approved 08/17/1981

Texas Approved 07/22/1983

Utah Approved 04/21/1983

Vermont Approved 02/13/1984

Virgin Islands Approved 04/04/2005

Virginia Approved 09/22/1981

Washington Approved 04/20/1983

West Virginia Approved 09/30/1981

Wisconsin Approved 07/18/1940

Wyoming Approved 06/14/1978




Firm Operations

Types of BusinessThis section provides the types of business, including non-securities business, the brokerage firm is engaged in orexpects to be engaged in.

This firm currently conducts 24 types of businesses.

Types of Business

Exchange member engaged in exchange commission business other than floor activities

Exchange member engaged in floor activities

Broker or dealer making inter-dealer markets in corporation securities over-the-counter

Broker or dealer retailing corporate equity securities over-the-counter

Broker or dealer selling corporate debt securities

Underwriter or selling group participant (corporate securities other than mutual funds)

Mutual fund retailer

U S. government securities dealer

U S. government securities broker

Municipal securities dealer

Municipal securities broker

Broker or dealer selling variable life insurance or annuities

Solicitor of time deposits in a financial institution

Put and call broker or dealer or option writer

Broker or dealer selling securities of only one issuer or associate issuers (other than mutual funds)

Investment advisory services

Broker or dealer selling tax shelters or limited partnerships in primary distributions

Broker or dealer selling tax shelters or limited partnerships in the secondary market

Trading securities for own account

Private placements of securities

Broker or dealer selling interests in mortgages or other receivables

Broker or dealer involved in a networking, kiosk or similar arrangment with a: bank, savings bank or association, orcredit union

Broker or dealer involved in a networking, kiosk or similar arrangment with a: insurance company or agency

Other - BROKER AND DEALER IN BANKERS ACCEPTANCES, CERTIFICATES OF DEPOSIT AND OTHER MONEYMARKET INSTRUMENTS. LOAN PARTICIPATORS, CREDIT DERIVATIVES, STRUCTURED CREDIT PRODUCTS,BANK LOAN SYNDICATION. JPMS LLC WILL: ACT AS CLEARING BROKER TO CLEAR AND CARRY SECURITIESTRANSACTIONS OF AFFILIATES; ACT AS CLEARING AGENT FOR CUSTOMER ACCOUNTS OF AFFILIATESAND UNRELATED CORRESPONDENT BROKER-DEALERS; CLEAR AND CARRY PROPRIETARY ACCOUNTS OFUNRELATED BROKER-DEALERS.




Other Types of Business

This firm does effect transactions in commodities, commodity futures, or commodity options.This firm does engage in other non-securities business.

Non-Securities Business Description: THE REGISTRANT ENGAGES IN FOREIGN EXCHANGE (FX) BUSINESS.

Other - BROKER AND DEALER IN BANKERS ACCEPTANCES, CERTIFICATES OF DEPOSIT AND OTHER MONEYMARKET INSTRUMENTS. LOAN PARTICIPATORS, CREDIT DERIVATIVES, STRUCTURED CREDIT PRODUCTS,BANK LOAN SYNDICATION. JPMS LLC WILL: ACT AS CLEARING BROKER TO CLEAR AND CARRY SECURITIESTRANSACTIONS OF AFFILIATES; ACT AS CLEARING AGENT FOR CUSTOMER ACCOUNTS OF AFFILIATESAND UNRELATED CORRESPONDENT BROKER-DEALERS; CLEAR AND CARRY PROPRIETARY ACCOUNTS OFUNRELATED BROKER-DEALERS.


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Firm Operations

Clearing Arrangements

This firm does hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does not refer or introduce customers to other brokers and dealers.




Firm Operations

Industry Arrangements

This firm does have books or records maintained by a third party.

This firm does not have accounts, funds, or securities maintained by a third party.

This firm does not have customer accounts, funds, or securities maintained by a third party.

This firm does have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

Control Persons/Financing

Name: J.P. MORGAN CHASE BANK, NA

Business Address: 200 SOUTH RIVERSIDE PLAZA11TH FLOORCHICAGO, IL 60606

Effective Date: 09/30/2016

Description: CHASE WILL MAINTAIN AND ARCHIVE CERTAIN CLIENTDOCUMENTATION AND AUTHORIZATION INSTRUCTIONS ON ITS IVAULTPROPRIETARY SYSTEM.

Name: J.P. MORGAN CHASE BANK, NA

Business Address: 270 PARK AVENUENEW YORK, NY 10017


Description: J.P. MORGAN CHASE BANK, NA ("JPMCB") WILL PRODUCE ANDDISTRIBUTE MONTHLY STATEMENTS FOR ITS PRIVATE BANKCUSTOMERS. JPMS LLC WILL SEND A MONTHLY ACTIVITY FILE TOJPMCB FOR THE CREATION OF STATEMENTS.

Name: JPMORGAN CHASE & CO.

Business Address: 270 PARK AVENUENEW YORK, NY 10017


Description: JPMORGAN CHASE & CO. OWNS OR CONTROLS 25% OR MORE OFVOTING SECURITIES OF THE APPLICANT.




Firm Operations

Organization AffiliatesThis section provides information on control relationships the firm has with other firms in the securities, investmentadvisory, or banking business.

This firm is, directly or indirectly:

· in control of· controlled by· or under common control withthe following partnerships, corporations, or other organizations engaged in the securities or investmentadvisory business.

No

Yes

No

01/01/2015


JPMORGAN INVEST HOLDINGS LLC is under common control with the firm.

UNDER COMMON CONTROL OF ULTIMATE PARENT, JPMORGAN CHASE &CO

Description:

Investment AdvisoryActivities:

Securities Activities:

Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

04/08/2008

277 PARK AVENUENEW YORK, NY 10172

SIXTY WALL STREET MANAGEMENT COMPANY, LLC is under common control with the firm.

UNDER COMMON CONTROL BY ULTIMATE PARENT - JPMORGAN CHASE &CO

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

282107

J.P. MORGAN PRIME INC. is controlled by the firm.

CRD #:




Firm Operations

Organization Affiliates (continued)

No

Yes

No

10/02/2015


J.P. MORGAN SECURITIES LLC IS DIRECT OWNER OF J.P. MORGAN PRIMEINC.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

01/01/2013


J.P. MORGAN VENTURES ENERGY CORPORATION is under common control with the firm.

UNDER COMMON CONTROL BY ULTIMATE PARENT - JPMORGAN CHASE &CO.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

AUSTRALIA

Yes

07/12/2012

LEVEL 18, 83-85 CASTLEREAGH STREETSYDNEY, AUSTRALIA NSW 2000

J.P. MORGAN SECURITIES AUSTRALIA LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations

Organization Affiliates (continued)UNDER COMMON CONTROL BY ULTIMATE PARENT - JPMORGAN CHASE &CO.

Description:

Yes

No

CAYMAN ISLANDS

Yes

07/12/2012

SOUTH CHURCH STREETGEORGETOWN, CAYMAN ISLANDS KY1-1104

JF MANAGEMENT GP LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

07/11/2012


BSCGP INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

No

12/30/2011

4 CHASE METROTECH CENTERBROOKLYN, NY 11245

JPMORGAN CHASE FUNDING INC. is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes


Description:


Yes

Yes

HONG KONG

Yes

02/26/2007

19TH AND 21ST FLOOR, CHATER HOUSE8 CONNAUGHT ROAD CENTRALHONG KONG, HONG KONG.

JPMORGAN ASSET MANAGEMENT REAL ASSETS (ASIA) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

SOUTH KOREA

Yes

02/06/2007

JPMORGAN PLAZA BUILDINGSEOSOMUM-RO 11-GIL, JUNG-GUSEOUL, SOUTH KOREA 110-120

JPMORGAN INVESTMENT ADVISORS (KOREA) COMPANY LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

12/30/2011

LEVEL 31, 101 COLLINS STREET,VICTORIA 3000MELBOURNE, AUSTRALIA

JPMORGAN ASSET MANAGEMENT (AUSTRALIA) LIMITED is under common control with the firm.

Effective Date:

Business Address:




Firm Operations


Yes

Yes

AUSTRALIA

Yes

12/30/2011


Description:



Country:

Foreign Entity:

Effective Date:

Yes

Yes

UK

Yes

12/30/2011

FINSBURY DIALS20 FINSBURY STREETLONDON, ENGLAND EC2Y 9AQ

J.P. MORGAN INVESTMENT MANAGEMENT LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

12/30/2011


J.P. MORGAN WHITEFRIARS LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

No

09/30/1994


J.P. MORGAN GT CORPORATION is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

CHILE

Yes

04/04/2012

APOQUINDO 2827, 13TH FLOORLAS CONDESSANTIAGO, CHILE 7590956

J.P. MORGAN CORREDORES DE BOLSA SPA is under common control with the firm.

UNDER COMMON CONTROL BY ULTIMATE PARENT - JPMORGAN CHASE &CO

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

JAPAN

Yes

04/08/2008

TOKYO BUILDING 7-3 MARUNOCHI 2 CHOME CHIYODA-KUTOKYO, JAPAN 100 6432

JPMORGAN SECURITIES JAPAN CO., LTD. is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No


Description:


No

Yes

MALAYSIA

Yes

04/08/2008

LEVEL 18 INTEGRA TOWER, THE INTERMARK348 JALAN TUN RAZAKKUALA LUMPUR, MALAYSIA 50400

JPMORGAN SECURITIES (MALAYSIA) SDN. BHD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

BAHAMAS

Yes

04/08/2008

P.O. BOX N-4899NASSAU, BAHAMAS

J.P. MORGAN TRUST COMPANY (BAHAMAS) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

04/08/2008

500 STANTON CHRISTIANA ROADNEWARK, DE 19713

J.P. MORGAN TRUST COMPANY OF DELAWARE is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

No


Description:



Country:

Foreign Entity:

Yes

No

SPAIN

Yes

04/08/2008

PASSEO DE LA CASTELLANANO 31MADRID, SPAIN 28046

JPMORGAN GESTION, SOCIEDAD GESTORA DE INSTITUCIONES DE INVERSION COLECTIVA, S.A. is undercommon control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

ENGLAND

Yes

04/08/2008

25 BANK STREETCANARY WHARFLONDON, ENGLAND E14 5JP

J.P. MORGAN CAZENOVE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

BRITISH VIRGIN ISLANDS

Yes

04/08/2008

PALM GROVE HOUSE P.O. BOX 438, ROAD TOWNTORTOLA, BRITISH VIRGIN ISLANDS

JF INDIA MANAGEMENT LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

CHINA

Yes

04/08/2008

25TH FLOOR, ZHENDAN MANSION99 FUCHENG ROADSHANGHAI, CHINA 200120

CHINA INTERNATIONAL FUND MANAGEMENT CO., LTD. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

MEXICO

Yes

04/08/2008

PASEO DE LA PALMAS NO 405, 16TH FLOORLOMAS DE CHAPULTEPEC, DISTRITO FEDERALMEXICO CITY, MEXICO 11000

BANCO J.P. MORGAN S.A., INSTITUCION DE BANCA MULTIPLE, J.P. MORGAN GRUPO FINANCIERO is undercommon control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes


Description:



Yes

No

No

04/08/2008

40 WEST 57TH STREETFLOOR 32NEW YORK, NY 10019

134776

HIGHBRIDGE CAPITAL MANAGEMENT, LLC is under common control with the firm.

UNDER COMMON CONTROL OF ULTIMATE PARENT - JPMORGAN CHASE &CO.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

ENGLAND

Yes

04/08/2008


J.P. MORGAN SECURITIES PLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

106201

SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED is under common control with the firm.

CRD #:27©2020 FINRA. All rights reserved. Report about J.P. MORGAN SECURITIES LLC



Firm Operations


Yes

No

No

04/08/2008

10 SOUTH DEARBORN STREET, SUITE 1400CHICAGO, IL 60603

106201


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

No

04/08/2008

1111 POLARIS PARKWAY, SUITE B2COLUMBUS, OH 43240

104234

JPMORGAN DISTRIBUTION SERVICES, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

BRAZIL

Yes

04/08/2008

AVENIDA BRIGADEIRO FARIA LIMA3729 13TH FLOOR - PARTE ITAIM BIBISAO PAULO, BRAZIL 04538-905

J.P. MORGAN CORRETORA DE CAMBIO E VALORES MOBILIARIOS S.A. is under common control with thefirm.


Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes


Description:



Yes

No

No

04/08/2008


J.P. MORGAN PRIVATE INVESTMENTS INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

04/08/2008


J.P. MORGAN PARTNERS, LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

04/08/2008


SIXTY WALL STREET GP CORPORATION is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

No


Description:



Country:

Foreign Entity:

Yes

No

LUXEMBOURG

Yes

04/08/2008

6 ROUTE DE TREVESSENNINGERBERG, LUXEMBOURG L-2633

JPMORGAN ASSET MANAGEMENT (EUROPE) S.A.R.L. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

04/08/2008


102920

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:




Firm Operations


No

Yes

INDIA

Yes

04/08/2008

OFF C.S.T. ROADKALINA, SANTACRUZ (EAST)MUMBAI, INDIA 400098

J.P. MORGAN SECURITIES INDIA PRIVATE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

SWITZERLAND

Yes

04/08/2008

8, RUE DE LA CONFEDERATION, P.O. BOX 5160GENEVA, SWITZERLAND 1211

J.P. MORGAN (SUISSE) SA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

No

04/08/2008


107038

J.P. MORGAN ASSET MANAGEMENT is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:




Firm Operations


Yes

FULL LEGAL NAME: J.P MORGAN INVESTMENT MANAGEMENT INC.


Description:


No

Yes

SINGAPORE

Yes

04/08/2008

168 ROBINSON ROAD, 17TH FLOOR, CAPITAL TOWERSINGAPORE, SINGAPORE 068912

J.P. MORGAN SECURITIES ASIA PRIVATE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

CANADA

Yes

04/08/2008

66 WELLINGTON STREET WEST, SUITE 4500TORONTO, CANADA M5K 1E7

J.P. MORGAN SECURITIES CANADA INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

04/08/2008

1 FRICKER ROAD, ILLOVOJOHANNESBURG, SOUTH AFRICA 2196

J.P. MORGAN SECURITIES SOUTH AFRICA PROPRIETARY LIMITED is under common control with the firm.

Effective Date:

Business Address:




Firm Operations


No

Yes

SOUTH AFRICA

Yes

04/08/2008


Description:



Country:

Foreign Entity:

Effective Date:

No

Yes

INDONESIA

Yes

04/08/2008

THE ENERGY BUILDING, 6TH FLOORSCBD LOT 11A, JI, JEND. SUDIRMAN KAV. 52-53JAKARTA, INDONESIA 12190

PT J.P. MORGAN SEKURITAS INDONESIA is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

THAILAND

Yes

04/08/2008

3/F, BUBHAJIT BUILDING 20 NORTH SATHORN ROADSILOM BANGRAKBANGKOK, THAILAND 10500

JPMORGAN SECURITIES (THAILAND) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

TAIWAN

Yes

04/08/2008

3/F, XIN YI TRADING CENTER, NO. 106, SECTION 5HSIN YI ROADTAIPEI, TAIWAN 110

J.P. MORGAN SECURITIES (TAIWAN) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

HONG KONG

Yes

04/08/2008

7, 23-29/F, CHATER HOUSE8 CONNAUGHT ROAD CENTRALHONG KONG, HONG KONG

J.P. MORGAN SECURITIES (FAR EAST) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

PAKISTAN

Yes

04/08/2008

2ND FLOOR, BAHRIH COMPLEX II, M.T. KHAN ROADKARACHI, PAKISTAN 74000

J.P. MORGAN PAKISTAN (PVT.) LIMITED is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes


Description:



No

Yes

PHILIPPINES

Yes

04/08/2008

30F ZUELLIG BUILDINGMAKETI AVENUE CORNER PASEO DE ROXASMAKATI CITY, PHILIPPINES 1225

J.P. MORGAN SECURITIES PHILIPPINES, INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

HONG KONG

Yes

04/08/2008

7, 23-29/F, CHATER HOUSE8 CONNAUGHT ROAD CENTRALHONG KONG, HONG KONG

J.P. MORGAN BROKING (HONG KONG) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

1 FRICKER ROADILLOVO 2196JOHANNESBURG, SOUTH AFRICA 2196

J.P. MORGAN EQUITIES SOUTH AFRICA PROPRIETARY LIMITED is under common control with the firm.

Business Address:




Firm Operations


No

Yes

SOUTH AFRICA

Yes

04/08/2008


Description:



Country:

Foreign Entity:

Effective Date:

Yes

No

TAIWAN

Yes

04/08/2008

20F & 21, NO. 1 SONG ZHI RDXIN YI DISTRICTTAIPEI CITY, TAIWAN 110

JPMORGAN ASSET MANAGEMENT (TAIWAN) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

SINGAPORE

Yes

04/08/2008

168 ROBINSON ROAD, 17TH FLOORCAPITAL TOWERSINGAPORE, SINGAPORE 068912

JPMORGAN ASSET MANAGEMENT (SINGAPORE) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Description:

No

Yes

SINGAPORE

Yes

04/08/2008

17TH FLOOR CAPITAL TOWER168 ROBINSON ROADSINGAPORE, SINGAPORE 068912

J.P. MORGAN SECURITIES SINGAPORE PRIVATE LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

HONG KONG

Yes

04/08/2008

21ST FLOOR CHARTER HOUSE 8CONNAUGHT ROADCENTRAL HONG KONG, HONG KONG

JPMORGAN ASSET MANAGEMENT (ASIA PACIFIC) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

JAPAN

Yes

04/08/2008

TOKYO BUILDING 7-3 MARUNOUCHI, 2-CHONE CHIYODA-KUTOKYO, JAPAN 107-6432

JPMORGAN ASSET MANAGEMENT (JAPAN) LIMITED is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No


Description:



Yes

Yes

HONG KONG

Yes

04/08/2008

21ST FLOOR CHARTER HOUSE 88 CONNAUGHT ROAD CENTRALHONG KONG, HONG KONG

JPMORGAN FUNDS (ASIA) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

BRITISH VIRGIN ISLANDS

Yes

04/08/2008

PALM GROVE HOUSE, P.O. BOX 438 ROADTOWNTORTOLA, BRITISH VIRGIN ISLANDS

JF INTERNATIONAL MANAGEMENT INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:


J.P. MORGAN MANSART MANAGEMENT LIMITED is under common control with the firm.

Business Address:




Firm Operations


Yes

No

FRANCE

Yes

04/08/2008



Description:



Country:

Foreign Entity:

Effective Date:

Yes

No

ENGLAND

Yes

04/08/2008

60 VICTORIA EMBANKMENTLONDON, ENGLAND EC4 Y0JP

JPMORGAN ASSET MANAGEMENT (UK) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

CANADA

Yes

04/08/2008

650 WEST GEORGIA STREET, SUITE 2310BRITISH COLUMBIAVANCOUVER, CANADA V6B 4N7

JPMORGAN ASSET MANAGEMENT (CANADA) INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


Yes

No

BAHAMAS

Yes

04/08/2008

5TH FL, CIBC FINANCIAL CENTRE, 11 DR. ROY'S DRIVEPO BOX 694GTGEORGE TOWN, CAYMAN ISLANDS KY1-1107

J.P. MORGAN TRUST COMPANY (CAYMAN) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

ARGENTINA

Yes

04/08/2008

MADERO 900-PISAO 22BUENOS AIRES, ARGENTINA C1106ACV

J.P. MORGAN CHASE TRADING S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

RUSSIA

Yes

04/08/2008

10 BUTYRSKY VALMOSCOW, RUSSIA 125047

CB "J.P. MORGAN BANK INTERNATIONAL" (LLC) is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No


Description:


No

Yes

AUSTRALIA

Yes

04/08/2008

LEVEL 18, 83-85 CASTLEREAGH STREETSYDNEY, AUSTRALIA NSW 2000

J.P. MORGAN AUSTRALIA PTY LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

BRAZIL

Yes

04/08/2008

AVENIDA BRIGADEIRO FARIA LIMA 37296 FL - PARTSAO PAULO, BRAZIL 04538-905

J.P. MORGAN S.A. - DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS is under common control withthe firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

04/08/2008

168 ROBINSON ROAD, 17TH FLOOR, CAPITAL TOWERSINGAPORE, SINGAPORE 068912

J.P. MORGAN (S.E.A.) LIMITED is under common control with the firm.

Effective Date:

Business Address:




Firm Operations


Yes

Yes

SINGAPORE

Yes


Description:



Country:

Foreign Entity:

No

Yes

HONG KONG

Yes

04/08/2008

7/F, 23-29/F, CHATER HOUSE8 CONNAUGHT ROAD CENTRALHONG KONG, HONG KONG

J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

Yes

BRAZIL

Yes

04/08/2008

AVENIDA BRIGADEIRO FARIA LIMA, 3729, 14TH FLOORSAO PAULO, BRAZIL

BANCO J.P. MORGAN S.A. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

JPMORGAN CHASE BANK, NATIONAL ASSOCIATION is under common control with the firm.




Firm Operations


Yes

Yes

No

04/08/2008

1111 POLARIS PARKWAYCOLUMBUS, OH 43240


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

No

04/08/2008


20989

JPMORGAN ALTERNATIVE ASSET MANAGEMENT is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

No

CAYMAN ISLANDS

Yes

11/21/2001

C/O MAPLES & CALDERPO BOX 309GEORGETOWN, CAYMAN ISLANDS

BEAR STEARNS ALTERNATIVE ASSETS INTERNATIONAL LIMITED is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations

Organization Affiliates (continued)Yes

THE ENTITY IS UNDER COMMON CONTROL WITH APPLICANT AS BOTH AREDIRECT OR INDIRECT SUBSIDIARIES OF THE BEAR STEARNS COMPANIESINC.

Description:


No

Yes

No

11/05/2001


BEAR STEARNS VENTURES MANAGEMENT LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

11/05/2001


BEAR STEARNS PRIVATE OPPORTUNITY VENTURES MANAGEMENT LLC is under common control with thefirm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

02/25/2002


BEAR STEARNS MERCHANT GP II, LLC is under common control with the firm.

Effective Date:

Business Address:




Firm Operations


No

Yes

No

02/25/2002


Description:



Country:

Foreign Entity:

Effective Date:

No

Yes

No

02/25/2002


IPC ADVISORS II, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

UNITED KINGDOM

Yes

08/16/2000


BEAR STEARNS UK HOLDINGS LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations

Organization Affiliates (continued)THE ENTITY IS UNDER COMMON CONTROL WITH APPLICANT AS BOTH AREDIRECT OR INDIRECT SUBSIDIARIES OF THE BEAR STEARNS COMPANIESINC.

Description:

No

Yes

No

02/25/2002


THE BSC EMPLOYEE FUND IV, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

02/25/2002


THE BSC EMPLOYEE FUND III, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

02/25/2002


IRVING PLACE CAPITAL MB-PSERS II, L.P. is under common control with the firm.

Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes


Description:



Country:

No

Yes

IRELAND

Yes

06/24/1999

200 CAPITAL DOCK79 SIR JOHN ROGERSON'S QUAYDUBLIN, IRELAND D02 RK57

BEAR STEARNS IRELAND LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

CAYMAN ISLANDS

Yes

03/06/2000

C/O MAPLES & CALDERPO BOX 309GEORGE TOWN, CAYMAN ISLANDS

CONSTELLATION VENTURE CAPITAL OFFSHORE II, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

No

11/05/2001


CGC GP II, LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

02/25/2002


THE BSC EMPLOYEE FUND II, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

No

11/05/2001


VENTURE PARTNERS, L.P. is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes


Description:



No

Yes

No

11/05/2001


PRIVATE OPPORTUNITY VENTURES, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

11/05/2001


CONSTELLATION VENTURE CAPITAL II, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:


J.P. MORGAN MARKETS LIMITED is under common control with the firm.

Business Address:




Firm Operations


No

Yes

UNITED KINGDOM

Yes

10/16/1981



Description:



Country:

Foreign Entity:

Effective Date:

No

Yes

UNITED KINGDOM

Yes

03/19/1992


BEAR STEARNS INTERNATIONAL TRADING LIMITED is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

01/07/2002

28 LIBERTY STREETNEW YORK, NY 10005-1401

BEAR STEARNS INVESTMENT PRODUCTS INC. is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations



Description:

No

Yes

No

11/05/2001


CGC GP, LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

11/19/2001


BEAR STEARNS CAPITAL MARKETS INC. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

02/25/2002


THE BSC EMPLOYEE FUND, L.P. is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

No


Description:



Country:

Foreign Entity:

No

Yes

No

11/05/2001


PRIVATE EQUITY OPPORTUNITY FUND II, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

11/05/2001


BEAR STEARNS FOF II ASSET MANAGEMENT LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:




Firm Operations


No

Yes

No

11/05/2001


PRIVATE EQUITY OPPORTUNITY FUND, L.P. is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

11/05/2001


BEAR STEARNS FOF ASSET MANAGEMENT LLC is under common control with the firm.


Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

03/15/1985


113359

BEAR STEARNS ASSET MANAGEMENT INC. is under common control with the firm.

Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:




Firm Operations


Yes

No


Description:



This firm is directly or indirectly, controlled by the following:

· bank holding company· national bank· state member bank of the Federal Reserve System· state non-member bank· savings bank or association· credit union· or foreign bank

Effective Date:

Business Address:

Description: JPMORGAN CHASE & CO. OWNS MORE THAN 25% OF THE APPLICANT.UNDER APPLICABLE REGULATIONS, AN ENTITY WHICH OWNS MORE THAN25% OF ANOTHER ENTITY IS PRESUMED TO CONTROL SUCH ENTITY.

JPMORGAN CHASE & CO. is a Bank Holding Company and controls the firm.

04/08/2008





Disclosure Events

All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal orcivil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved.For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm orone of its control affiliates. Further information regarding these events can be found in the subsequent pages of thisreport.

Final On AppealPending

Regulatory Event 0 335 0

Civil Event 1 6 0

Arbitration N/A 137 N/A




Disclosure Event Details

What you should know about reported disclosure events:

1. BrokerCheck provides details for any disclosure event that was reported in CRD. It also includessummary information regarding FINRA arbitration awards in cases where the brokerage firm wasnamed as a respondent.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a brokerage firm is required to disclose a

particular criminal event.3. Disclosure events in BrokerCheck reports come from different sources:

o Disclosure events for this brokerage firm were reported by the firm and/or regulators. When the firmand a regulator report information for the same event, both versions of the event will appear in theBrokerCheck report. The different versions will be separated by a solid line with the reporting sourcelabeled.

4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.

§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter,

or (2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

§ A "settled" matter generally involves an agreement by the parties to resolve the matter.Please note that firms may choose to settle customer disputes or regulatory matters forbusiness or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding ofwrongdoing on the part of the individual broker. Such matters generally involve customerdisputes.

5. You may wish to contact the brokerage firm to obtain further information regarding any of thedisclosure events contained in this BrokerCheck report.

Regulatory - Final

This type of disclosure event involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulator such as the U.S. Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of the authority of a brokerage firm or its control affiliate to act as an attorney, accountant or federalcontractor.

Disclosure 1 of 335

Reporting Source: Regulator

Allegations: SEC ADMIN RELEASE 33-10741; RELEASE 34-87919; IA RELEASE 40-5429,JANUARY 9, 2020: THE SEC DEEMS IT APPROPRIATE AND IN THE PUBLICINTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESISTPROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TOSECTION 8A OF THE SECURITIES ACT OF 1933, SECTION 15(B) OF THESECURITIES EXCHANGE ACT OF 1934, AND SECTION 203(E) OF THEINVESTMENT ADVISERS ACT OF 1940, AGAINST J.P. MORGAN SECURITIESLLC. IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS,JPMS HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THECOMMISSION HAS DETERMINED TO ACCEPT. SOLELY FOR THE PURPOSEOF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BYO

Documents

J.P. MORGAN SECURITIES LLCJ.P. MORGAN SECURITIES LLC CRD# 79 SEC# 8-35008 Main Office Location 383 MADISON AVENUE NEW YORK, NY 10179 Regulated by FINRA New York Office Mailing Address