Sandra J Swagel

CRD 1295897 · J.P. Morgan Securities LLC · Sherman, TX

IA RegisteredBroker

Also appears in the source record as: Sandra Epps; Sandra Jean Hubbard; Sandra Jean Klein; Sandra Munis; Sandra Jean Swagel

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): SIESeries 3Series 7Series 9Series 10Series 8Series 24Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (7)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Van Alstyne, TX · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Sherman, TX · BC capacity

start not retrieved → present
Morgan Stanley
Denver, CO · IA capacity

Jan 26, 2010 → Jul 23, 2014
Morgan Stanley
Denver, CO · BC capacity

Jan 26, 2010 → Jul 23, 2014
Citigroup Global Markets Inc.
Denver, CO · IA capacity

Jan 1, 1999 → Jun 1, 2009
Citigroup Global Markets Inc.
Denver, CO · BC capacity

Jul 16, 1998 → Jun 1, 2009
Norwest Investment Services, Inc.
Minneapolis, MN · BC capacity

Jul 21, 1995 → Jun 19, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1295897 ↗ FINRA BrokerCheck record for CRD 1295897 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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