Sudip Jha
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sudip Jha, who also goes by Sudip Jha, was a registered financial professional .
Sudip is a previously registered financial professional and started their career in finance in 2000. Sudip had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2021 - June 22, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
November 3, 2021 - June 22, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 13, 2018 - December 16, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 12, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
June 5, 2017 - December 13, 2019
FIDELITY BROKERAGE SERVICES LLC
August 25, 2015 - April 19, 2017
J.P. MORGAN SECURITIES LLC
August 25, 2015 - April 19, 2017
J.P. MORGAN SECURITIES LLC
July 16, 2013 - August 14, 2015
E*TRADE SECURITIES LLC
July 2, 2013 - August 14, 2015
HARRISDIRECT LLC
January 24, 2013 - June 26, 2013
FISHER INVESTMENTS
July 20, 2011 - November 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2011 - November 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2007 - October 26, 2010
CHARLES SCHWAB & CO., INC.
September 5, 2007 - October 26, 2010
CHARLES SCHWAB & CO., INC.
November 30, 2000 - June 29, 2001
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
