Rick Groom

CRD 2191812 · J.P. Morgan Securities LLC · Roslyn Heights, NY

IA RegisteredBroker

Also appears in the source record as: Richard Ronald Groom Jr; Richard Ronald Groom; Richard Groom; Rick Groom; Richard R Groom Jr; Richard R Groom

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 6Series 24Series 26Series 66Series 63
Registered states (8): Connecticut · Florida · New Jersey · New York · North Carolina · South Carolina · Tennessee · Virginia
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 (9)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Roslyn Heights, NY · IA capacity

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

start not retrieved → present
Morningstar Investment Services LLC
Chicago, IL · BC capacity

Jan 2, 2020 → Nov 11, 2022
Assetmark Brokerage, LLC
Concord, CA · BC capacity

Aug 15, 2014 → Dec 10, 2018
Capital Brokerage Corporation
Glen Allen, VA · BC capacity

Mar 21, 2014 → Aug 15, 2014
Janus Distributors LLC
Denver, CO · BC capacity

Mar 8, 2007 → Feb 28, 2014
Dreyfus Service Corporation
New York, NY · BC capacity

Jun 1, 2001 → Feb 19, 2004
J.P. Morgan Fund Distributors, Inc.
Boston, MA · BC capacity

May 8, 1996 → May 29, 2001
Van Eck Securities Corporation
New York, NY · BC capacity

Nov 21, 1991 → Apr 9, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2191812 ↗ FINRA BrokerCheck record for CRD 2191812 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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