CH
Chad C. Hummel
J.P. MORGAN INSTITUTIONAL INVESTMENTS
New York, NY 10172
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CRD#: 5177730
CH
Professional summary
Chad C. Hummel, who also goes by Chad Christopher Hummel, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Chad is registered as a RR (Registered Representative) and started their career in finance in 2010. Chad has worked at 6 firms and has passed the Series 66, Series 63, Series 3, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chad Christopher Hummel
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.
CRS (Client Relationship Summary) - BD
Click below to view Chad C. Hummel's 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®
NoneExperience
Current
April 25, 2023 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172BD
CRD#: 102920
New York, NY
Past
October 8, 2021 - April 18, 2023
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
October 21, 2013 - August 16, 2021
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
NEW YORK, NY
Past
February 27, 2013 - August 16, 2021
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
August 13, 2012 - February 27, 2013
BLACKROCK CAPITAL MARKETS, LLC
BD
CRD#: 146514
NEW YORK, NY
Past
April 23, 2010 - December 8, 2011
LIQUIDNET, INC.
BD
CRD#: 103987
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/25/2023)
RR
Alaska(1/3/2024)
RR
Arizona(4/25/2023)
RR
Arkansas(4/25/2023)
RR
California(4/25/2023)
RR
Colorado(4/25/2023)
RR
Connecticut(4/25/2023)
RR
Delaware(4/25/2023)
RR
District of Columbia(4/25/2023)
RR
Florida(4/25/2023)
RR
Georgia(4/25/2023)
RR
Idaho(4/25/2023)
RR
Illinois(4/25/2023)
RR
Indiana(4/25/2023)
RR
Iowa(4/25/2023)
RR
Kansas(4/25/2023)
RR
Kentucky(4/25/2023)
RR
Louisiana(4/25/2023)
RR
Maine(4/25/2023)
RR
Maryland(4/25/2023)
RR
Massachusetts(4/25/2023)
RR
Michigan(4/25/2023)
RR
Minnesota(4/25/2023)
RR
Mississippi(4/25/2023)
RR
Missouri(4/25/2023)
RR
Montana(4/25/2023)
RR
Nebraska(4/25/2023)
RR
Nevada(4/25/2023)
RR
New Hampshire(4/25/2023)
RR
New Jersey(4/25/2023)
RR
New Mexico(4/25/2023)
RR
New York(4/25/2023)
RR
North Carolina(4/25/2023)
RR
North Dakota(4/25/2023)
RR
Ohio(4/26/2023)
RR
Oklahoma(4/25/2023)
RR
Oregon(4/25/2023)
RR
Pennsylvania(4/25/2023)
RR
Rhode Island(4/25/2023)
RR
South Carolina(4/25/2023)
RR
South Dakota(4/25/2023)
RR
Tennessee(1/3/2024)
RR
Texas(4/25/2023)
RR
Utah(4/25/2023)
RR
Vermont(4/25/2023)
RR
Virginia(4/25/2023)
RR
Washington(4/25/2023)
RR
West Virginia(4/25/2023)
RR
Wisconsin(4/25/2023)
RR
Wyoming(4/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN
CRD#: 102920 / SEC#: 801-64031, 8-52182
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
