CRD #79 · FINRA BrokerCheck + SEC IAPD

J.P. Morgan Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.P. Morgan Securities LLC ranks #7 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #3 of 868 on the same disclosure sort used on the state browse page. J.P. Morgan Securities LLC carries 547 BrokerCheck disclosures across 6,951 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
6,951
branch offices
547
disclosures
#7 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 79 J.P. Morgan Securities LLC

J.P. Morgan Securities LLC · Grade B · 547 disc · 0.08/office · National firm

  • CRD 79
  • GRADE B
  • DISC 547
  • REG 394
  • ARB 144
  • CIV 9
  • BRANCH 6,951
  • PER-OFF 0.08
  • RANK #7 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Raymond James & Associates, Inc. (0.08 disc/office)

Raymond James & Associa…0.08Robert W. Baird & Co. I…0.07Wells Fargo Clearing Se…0.06J.P. Morgan Securit… (this)0.08
Disclosures per office among national firm peers (lower is cleaner)

J.P. Morgan Securities LLC ranks #7 of 20,055 by disclosure count among graded broker-dealers; light load at 0.08 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

6,951 offices

FINRA: Large firm

Total disclosures

547 events

On FINRA BrokerCheck

Regulatory events

394 actions

72% of all disclosures

Disclosures per office

0.08 per office

547 ÷ 6,951 offices

J.P. Morgan Securities LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 89% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 394
Arbitrations 144
Civil Events 9
Total 547

Counts for J.P. Morgan Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 394 Arbitration 144 Civil 9

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10017
Formed
08/12/1985
State of Formation
Delaware
CRD Number
79
SEC Number
35008

Lower disclosures per office

J.P. Morgan Securities LLC in the heavier-disclosure third

J.P. Morgan Securities LLC carries 547 BrokerCheck disclosures across 6,951 branch offices - a heavier-third raw book among graded firms (#7 of 20,055). Regulator-initiated events are 72% of the book (394 regulatory / 144 arbitration / 9 civil).

J.P. Morgan Securities LLC runs 0.08 disclosures per branch office (cleaner than 89% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of J.P. Morgan Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 63× state average

J.P. Morgan Securities LLC sits above the New York disclosure average

J.P. Morgan Securities LLC reports 547 BrokerCheck disclosures, 63× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does J.P. Morgan Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.P. Morgan Securities LLC ranks #7 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #3 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for J.P. Morgan Securities LLC?
A grade of B reflects J.P. Morgan Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 547 total disclosures across 6,951 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does J.P. Morgan Securities LLC have?
J.P. Morgan Securities LLC has 547 total FINRA disclosures, including 394 regulatory events, 144 arbitrations, 9 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is J.P. Morgan Securities LLC?
J.P. Morgan Securities LLC operates 6,951 branch offices and is classified by FINRA as a large firm, registered in NY (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify J.P. Morgan Securities LLC's disciplinary record?
You can verify J.P. Morgan Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 79. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). J.P. Morgan Securities LLC's 547 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid J.P. Morgan Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. J.P. Morgan Securities LLC carries 547 disclosures across 6,951 branch offices (about 0.08 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for J.P. Morgan Securities LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.