Seth Kaye

J.P. MORGAN INSTITUTIONAL INVESTMENTS

New York, NY 10017

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CRD#: 6006856

Professional summary

Seth Kaye, who also goes by Seth L Kaye, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.

Seth is registered as a RR (Registered Representative) and started their career in finance in 2012. Seth has worked at 4 firms and has passed the Series 63, Series 66, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Seth L Kaye

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) - BD

Click below to view Seth Kaye'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®

None

Experience

Current

April 3, 2018 - Present

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

Office #1: 270 Park Ave, New York, NY 10017

CRD#: 102920

New York, NY

Past

April 11, 2016 - April 3, 2018

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

NEW YORK, NY

Past

February 10, 2014 - January 8, 2016

ASSET MANAGEMENT RESOURCES, LLC

RIA

CRD#: 145296

HYANNIS, MA

Past

April 3, 2012 - November 18, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(10/20/2025)

Maine
(10/20/2025)

New Jersey
(10/20/2025)

New York
(4/3/2018)

Exams

State Security Law Exam

Series 63

Date: 6/16/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/19/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 12/9/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Latest Form ADV

Part 2 Brochures

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.

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Advisor Monitoring

Firm Stability Insights

Seth Kaye

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth Kaye's CRS (Customer Relationship Summary).

Certified licenses

Experience

JPMORGAN DISTRIBUTION SERVICES, INC.

ASSET MANAGEMENT RESOURCES, LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/2016

Series 66

Date: 6/19/2012

Series 3

Date: 12/9/2021

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2016

FINRA

Current Firm

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

TRUST BUT VERIFY

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