# J.P. Morgan Securities LLC

> J.P. Morgan Securities LLC is an SEC-registered investment advisory firm in New York, NY, registered since 1965, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.

- CRD: 79
- Filed as: J.P. MORGAN SECURITIES LLC
- Also doing business as: J.P. MORGAN, J.P. MORGAN PRIVATE CLIENT, J.P. MORGAN WEALTH MANAGEMENT
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/79
- AdvisorCensus page: https://advisorcensus.com/firm/j-p-morgan-securities-llc-new-york-ny-79

## Quick answers

**How is J.P. Morgan Securities LLC compensated?**
On its Form ADV (Item 5.E, October 2026), J.P. Morgan Securities LLC reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is J.P. Morgan Securities LLC located?**
J.P. Morgan Securities LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 17 other offices (Schedule D, Section 1.F).

**Is J.P. Morgan Securities LLC registered with the SEC or a state?**
J.P. Morgan Securities LLC is an SEC-registered investment advisory firm, registered since 1965. Status as filed: Approved. CRD 79.

**How much does J.P. Morgan Securities LLC manage?**
J.P. Morgan Securities LLC reports $429,694,491,042 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (83% discretionary).

**How have J.P. Morgan Securities LLC's assets and staff changed since 2021?**
In the Form ADV data for J.P. Morgan Securities LLC: Regulatory assets under management: $188,264,289,046 in the October 2021 data and $429,694,491,042 in the October 2026 data, up 128%. Total employees: 7,038 in October 2021 and 8,703 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does J.P. Morgan Securities LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (877,306); high net worth individuals (356,866); corporations or other businesses not listed above (8,977).

**Which custodians does J.P. Morgan Securities LLC use?**
J.P. Morgan Securities LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists J.P. Morgan Securities LLC (affiliated with the firm) as a custodian holding 10% or more of its separately managed account assets.

**Does J.P. Morgan Securities LLC report any disciplinary disclosures?**
Reports 12 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters, 9 questions about regulatory matters, and 1 question about civil court matters (11.A(1), 11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.E(2), 11.G, 11.H(1)(c)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/79

**What changed in J.P. Morgan Securities LLC's recent Form ADV filings?**
In the May 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Other

### Custodians (Schedule D, Section 5.K(3))
- J.P. Morgan Securities LLC (affiliated with the firm)

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $429,694,491,042
- Discretionary: $358,295,849,690
- Non-discretionary: $71,398,641,352

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 877,306 | $141,826,923,251 |
| High net worth individuals | 356,866 | $251,110,514,971 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2,559 | $2,839,224,355 |
| Charitable organizations | 928 | $6,275,478,271 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 9 | $21,489,909 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 8,977 | $27,620,523,120 |
| Other | 1 | $337,165 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1965 (61 years)
- Employees: 8,703 total, 8,479 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 12 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(1): In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?
- 11.H(1)(c): Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/79

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Atlanta, GA
- Boston, MA
- Chicago, IL
- Columbus, OH
- Dallas, TX
- Irvine, CA
- Jacksonville, FL
- Los Angeles, CA
- Miami, FL
- New York, NY
- Palm Beach Gardens, FL
- Plano, TX
- San Antonio, TX
- San Francisco, CA
- Tempe, AZ
- Westerville, OH
- White Plains, NY

### Websites listed on Form ADV (Item 1.I)
- [account.chase.com](https://account.chase.com)
- [chase.com](https://chase.com)
- [jpmorgan.com](https://jpmorgan.com)
- [jpmorganwealthmanagement.chase.com](https://jpmorganwealthmanagement.chase.com)
- [wealthpartners.jpmorgan.com](https://wealthpartners.jpmorgan.com)
- Facebook @jpmorgan
- Instagram @jpmwealth
- LinkedIn @jpmorganwealthmanagement
- X @JPMWealth
- YouTube @jpmorgan

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $188,264,289,046 | 7,038 | September 30, 2021 |
| October 2022 | $229,724,761,175 | 7,626 | September 2, 2022 |
| October 2023 | $212,928,874,840 | 7,098 | September 29, 2023 |
| October 2024 | $249,730,934,760 | 7,685 | September 20, 2024 |
| October 2025 | $352,605,441,286 | 8,327 | July 29, 2025 |
| October 2026 | $429,694,491,042 | 8,703 | September 30, 2026 |

Regulatory assets under management: $188,264,289,046 in the October 2021 data and $429,694,491,042 in the October 2026 data, up 128%.
Total employees: 7,038 in October 2021 and 8,703 in October 2026.

## Changes in the filing (last 12 months)

### May 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Regulatory assets under management went from $352,605,441,286 to $429,694,491,042 (+22%).
- Employees performing advisory functions went from 8097 to 8479.
- No longer lists the business name J.P. Morgan Private Wealth Advisors LLC.
- Changed its office addresses in San Antonio, TX.
- Changed its office addresses in San Francisco, CA.
- Added an office in Chicago, IL.
- Added an office in Jacksonville, FL.
- Added an office in Westerville, OH.
- No longer lists an office in Columbus, OH.
- No longer lists an office in Los Angeles, CA.
- No longer lists an office in Philadelphia, PA.
- No longer lists an office in Summit, NJ.
- No longer lists an office in Washington, DC.

### March 2026
- Updated its list of owners and control persons (Schedule A).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. J.P. Morgan Securities LLC (CRD 79): Form ADV filing data as of October 2026.