NM
Nicholas Alexander Moller
J.P. MORGAN INSTITUTIONAL INVESTMENTS
New York, NY 10017-2513
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CRD#: 5354935
NM
Professional summary
Nicholas Alexander Moller, who also goes by Nicholas Alexander Moller Mr., Nicholas Alexander Moller, Nicholas Moller, Nick Moller, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Nicholas Alexander is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas Alexander has worked at 3 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Alexander Moller Mr. | Nicholas Alexander Moller | Nicholas Moller | Nick Moller
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 Nicholas Alexander Moller'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
March 28, 2014 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 390 Madison Ave, New York, NY 10017-2513BD
CRD#: 102920
New York, NY
Past
October 1, 2008 - March 24, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
Past
November 27, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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(3/28/2014)
RR
Alaska(3/28/2014)
RR
Arizona(3/28/2014)
RR
Arkansas(3/28/2014)
RR
California(3/28/2014)
RR
Colorado(3/28/2014)
RR
Connecticut(3/28/2014)
RR
Delaware(3/28/2014)
RR
District of Columbia(3/28/2014)
RR
Florida(3/28/2014)
RR
Georgia(3/28/2014)
RR
Hawaii(3/28/2014)
RR
Idaho(3/28/2014)
RR
Illinois(3/28/2014)
RR
Indiana(3/28/2014)
RR
Iowa(3/28/2014)
RR
Kansas(3/28/2014)
RR
Kentucky(3/28/2014)
RR
Louisiana(3/28/2014)
RR
Maine(3/28/2014)
RR
Maryland(3/28/2014)
RR
Massachusetts(3/28/2014)
RR
Michigan(3/28/2014)
RR
Minnesota(3/28/2014)
RR
Mississippi(3/28/2014)
RR
Missouri(3/28/2014)
RR
Montana(3/28/2014)
RR
Nebraska(3/28/2014)
RR
Nevada(3/28/2014)
RR
New Hampshire(3/28/2014)
RR
New Jersey(3/28/2014)
RR
New Mexico(3/28/2014)
RR
New York(3/28/2014)
RR
North Carolina(3/28/2014)
RR
North Dakota(3/28/2014)
RR
Ohio(3/28/2014)
RR
Oklahoma(3/28/2014)
RR
Oregon(3/28/2014)
RR
Pennsylvania(3/28/2014)
RR
Puerto Rico(3/28/2014)
RR
Rhode Island(3/28/2014)
RR
South Carolina(3/28/2014)
RR
South Dakota(3/28/2014)
RR
Tennessee(3/28/2014)
RR
Texas(3/28/2014)
RR
Utah(3/28/2014)
RR
Vermont(3/28/2014)
RR
Virginia(3/28/2014)
RR
Washington(3/28/2014)
RR
West Virginia(3/28/2014)
RR
Wisconsin(3/28/2014)
RR
Wyoming(3/28/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
