J. P. Morgan Securities Inc. (New York)


J. P. Morgan Securities Inc. is a pension cosultant based in New York. It manages $590.66 million of regulatory assets for 3,419 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

J. P. Morgan Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

J. P. Morgan Securities: assets under management

The assets under management (AUM) of J. P. Morgan Securities Inc. is $590.66 million. The firm's AUM has gone down by -85% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $579.86 million in discretionary accounts and $10.8 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $171.86 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $239.91 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay J. P. Morgan Securities Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at J. P. Morgan Securities Inc.

Paul Wendell Brandow has been acting as President since 1 May 2001. Anthony James Horan joined the executive team most recently as the Secretary And Sr. Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Paul Wendell Brandow Director/managing director/vice chairman 1 May 2001 Other 2320465
John Steinhardt Director/ managing director/ vice chairman 1 May 2001 Other 874072
Nicholas John Mannarino Director/ chief operations officer/ vice president 1 May 2001 Other 1629452
Joann Smyser Digulla Crop 1 May 2001 Other 1206540
Hambrecht & Quist California (Directly Owns 29% Of J.P. Morgan Securities Inc.) Directly owns 29 % of j.p. morgan securities inc. 1 May 2001 25% - 50% 94-2856927
J. P. Morgan Chase & Co. (Directly Owns 48% Of J.P. Morgan Securities Inc.) Ultimate parent company - directly owns 48% of j.p. morgan securities inc. 1 May 2001 25% - 50% 13-2624428
Mark Black Werner Director/ chairman and president 1 May 2001 Other 730268
Ann Dully Borowiec Director/ managing director/co-head of us markets private bank 1 May 2001 Other 1572984
James Michael Collins Director/ chief financial officer/ vice president 1 May 2001 Other 2725065
Brent Henricksen Taylor Managing director/agc/director of compliance/cco 1 May 2001 Other 3042416
Darleen Ann Solebellofenton Crop 1 May 2001 Other 2292861
James C.P. Berry Secretary 1 May 2001 Other xxx-xx-xxxx
Lisa Estelle Waters Srop 1 May 2001 Other 2279171
J.P. Morgan Securities Holdings Inc. (Directly Owns 23% Of J.P. Morgan Securities Inc.) Directly owns 23% of j.p. morgan securities inc. 1 May 2001 Other 999-99999
Elise Robin Hubsher Srop - institutional equities 1 Jun 2001 Other 1278479
Joseph David Gahtan Srop - institutional equities 1 Nov 2001 Other 216457
J.P. Morgan Securities Holdings Inc. Directly owns 100% of j.p. morgan securities inc. 1 Dec 2001 75% - 100% 13-33224023
Jpmorgan Securities Holdings Llc Directly owns 100% of j.p. morgan securities inc. 1 Dec 2001 75% - 100% 13-3224023
Paul Wendell Brandow Director, chairman, president, and managing director 1 Feb 2002 Other 2320465
Nicholas John Mannarino Director, managing director, and chief operations officer 1 Feb 2002 Other 1629452
Mark Black Werner Director, vice chairman, and managing director 1 Feb 2002 Other 730268
James C. P. Berry Vice president and secretary 1 Feb 2002 Other xxx-xx-xxxx
Alan Kent Jr Halfenger Crop 1 Mar 2002 Other 1715234
Felice Diiorio Director and managing director 1 Mar 2002 Other 1995757
Juan Carlos Pinilla Srop - institutional equities 1 Jun 2002 Other 2687040
Georgine Ramsdell Lacey Chief operations officer, vice president 1 May 2003 Other 3002311
Christopher Robert Franke Managing director, chief compliance officer, director of compliance 1 Aug 2003 Other 1521812
Sarah Gill Director & managing director 1 Nov 2003 Other 4400229
Margaret Mary Sullivan Chief operations officer, vice president 1 Oct 2004 Other 1940830
Richard Dziki Crop 1 Mar 2005 Other 3004263
Joseph Kofi Ghartey Srop - institutional equities 1 May 2005 Other 2507085
Douglas Lee Braunstein Director and managing director 1 Jul 2005 Other 1542814
Carlos M Hernandez Chairman, president, ceo, director, managing director 1 Apr 2006 Other 2647255
Clement Mr Bernard Director, managing director 1 Apr 2006 Other 4904744
William A King Vice chairman, director 1 Apr 2006 Other 2464590
Gregory Jude Johnson Chief compliance officer, director of compliance, managing director 1 Apr 2006 Other 2611617
Donald H Iii Mccree Director, managing director 1 Apr 2006 Other 2316064
Kathleen Zack Chief financial officer, financial director 1 Jul 2006 Other 5110975
John Stephen Maclellan Director, managing director 1 Oct 2006 Other 1050214
George Henry Gentsch Crop 1 May 2007 Other 1556848
David John Lockyer Srop - institutional equities 1 Oct 2007 Other 2949100
Anthony James Horan Secretary and sr. vice president 1 Jun 2008 Other 1970798
James Michael Collins Chief financial officer and sr. managing director 1 Jun 2008 Other 2725065
Lisa Joan Fitzgerald Treasurer and managing director 1 Jun 2008 Other 1542376
Steven Davis Black Ceo, chairperson, director, managing director 1 Jun 2008 Other 801694
Mary Elizabeth Erdoes Director 1 Jun 2008 Other 2502095
Philip Francis Bleser Director 1 Jun 2008 Other 4506044
Diane M Genova Chief legal officer and managing director 1 Jun 2008 Other 5558897

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Hambrecht & Quist Group (Owns 100% Of Hambrecht & Quist California) See question #1 1 May 2001 75% - 100% 94-3246636
J.P. Morgan Chase & Co. (Owns 100% Of J.P. Morgan Securities Holdings Inc.) See question #1 1 May 2001 75% - 100% 13-2624428
J.P. Morgan Chase & Co. Ultimate parent company owns 100% of j.p. morgan securities holdings inc. 1 May 2001 75% - 100% 13-2624428
Jpmorgan Chase & Co. Ultimate parent company owns 100% of jpmorgan securities holdings llc 1 May 2001 75% - 100% 13-2624428

Based in New York

The principal office where J. P. Morgan Securities Inc. performs its advisory services is located at 270/277 Park Avenue, New York, NY 10017 2014, which is also the mailing address of the firm. An additional office of the firm is in Newport Beach, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-270-6000 or by fax 212-270-2801. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.chase.com.

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