Rashmi Gupta

J.P. MORGAN PRIVATE INVESTMENTS

New York, NY 10017

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CRD#: 4036776

Professional summary

Rashmi Gupta is a registered financial advisor currently at J.P. MORGAN PRIVATE INVESTMENTS INC. located in New York, New York.

Rashmi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Rashmi has worked at 4 firms and has passed the Series 63 and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rashmi Gupta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 12, 2024 - Present

J.P. MORGAN PRIVATE INVESTMENTS INC.

Office #1: 390 Madison Ave, New York, NY 10017

RIA

CRD#: 110186

New York, NY

Past

December 19, 2006 - September 9, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 1, 2001 - April 16, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

November 24, 1999 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J.P. MORGAN PRIVATE INVESTMENTS INC.

CRD#: 110186 / SEC#: 801-41088

RIA

Registered Investment Advisory firm - (5/15/1992 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(6/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/2006

General Securities Representative Examination

Current Firm

J.P. MORGAN PRIVATE INVESTMENTS INC.

CRD#: 110186 / SEC#: 801-41088

RIA

Registered Investment Advisory firm - (5/15/1992 Approved)

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Contact information

Main Address

383 Madison Floor 5, New York, NY 10179

Mailing Address

390 Madison Avenue, New York, NY 10017-2513

Phone number

(212) 464-2070

Established

Firm type

Fiscal year end

# of Employees

714

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

J.P. MORGAN PRIVATE INVESTMENTS - MANAGED INVESTMENT SERVICES PROGRAM ADV 2A (10/9/2025)

J.P. MORGAN PRIVATE INVESTMENTS INC. (3/31/2025)

J.P. MORGAN PRIVATE INVESTMENTS INC. - WRAP PROGRAMS (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,099,136
AUM (Assets Under Management)	$ 375,626,396,352

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Rashmi Gupta

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rashmi Gupta's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN PRIVATE INVESTMENTS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES INC.

JPMSI

Primary Firm SEC Registration

J.P. MORGAN PRIVATE INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2006

Series 7

Date: 12/18/2006

Current Firm

J.P. MORGAN PRIVATE INVESTMENTS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J.P. MORGAN PRIVATE INVESTMENTS INC.

TRUST BUT VERIFY

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