James E Foote

CRD 2179162 · J.P. Morgan Securities LLC · New York, NY

IA RegisteredBroker

Also appears in the source record as: James Ed Foote; Jim Foote; James Edward Foote

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · 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): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2179162 contains one or more disclosure events as of Aug 20, 2026.

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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 (11)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · IA capacity

Oct 28, 2011 → Aug 5, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Oct 28, 2011 → Aug 5, 2022
Morgan Stanley Smith Barney LLC
New York, NY · IA capacity

Jun 1, 2009 → Nov 7, 2011
Morgan Stanley Smith Barney
New York, NY · BC capacity

Jun 1, 2009 → Nov 7, 2011
Morgan Stanley & Co. Incorporated
New York, NY · IA capacity

Jul 20, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
New York, NY · BC capacity

Jul 20, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
New York, NY · BC capacity

Jun 15, 1994 → Aug 2, 2007
Painewebber Incorporated
Weehawken, NJ · BC capacity

Mar 24, 1993 → Jun 16, 1994
Mclaughlin, Piven, Vogel Securities, Inc.
New York, NY · BC capacity

Jan 7, 1992 → Apr 2, 1993

Source & corrections

Where this page comes from

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