Kathy J. Minkin
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.
Kathy Jane Minkin was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1980. Kathy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
June 1, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 31, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 1, 2008 - May 23, 2011
NATIONWIDE SECURITIES, LLC
May 30, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 9, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 9, 2007 - May 23, 2011
NATIONWIDE SECURITIES, LLC
December 13, 2006 - April 27, 2007
VICTORY CAPITAL SERVICES, INC.
October 9, 2006 - April 27, 2007
FUNDS DISTRIBUTOR, LLC
October 9, 2006 - April 27, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
June 13, 2005 - July 31, 2006
1717 CAPITAL MANAGEMENT COMPANY
November 26, 1997 - July 31, 2006
NATIONWIDE SECURITIES, LLC
August 20, 1986 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 20, 1986 - October 30, 1997
SIGNATOR INVESTORS, INC.
December 17, 1980 - August 26, 1986
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
