James Peter Barbara

CRD 2528813 · J.P. Morgan Securities LLC · El Segundo, CA

IA RegisteredBroker

Also appears in the source record as: James P Barbara; J. Peter Barbara

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 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): 31
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 (17)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
El Segundo, CA · IA capacity

start not retrieved → present
Jefferies LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
El Segundo, CA · BC capacity

start not retrieved → present
Jefferies LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Jefferies LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Jefferies Investment Advisers LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Leucadia Asset Management LLC
Los Angeles, CA · IA capacity

May 10, 2023 → Aug 14, 2023
City National Securities, Inc.
Los Angeles, CA · IA capacity

Oct 29, 2014 → May 23, 2023
City National Securities, Inc.
Los Angeles, CA · BC capacity

Oct 28, 2014 → May 23, 2023
Wells Fargo Advisors, LLC
El Segundo, CA · IA capacity

Jan 3, 2011 → Oct 17, 2014
Wells Fargo Advisors, LLC
El Segundo, CA · BC capacity

Jan 3, 2011 → Oct 17, 2014
Wells Fargo Investments, LLC
El Segundo, CA · IA capacity

Aug 20, 2009 → Jan 3, 2011
Wells Fargo Investments, LLC
El Segundo, CA · BC capacity

Aug 19, 2009 → Jan 3, 2011
Citigroup Global Markets Inc.
Los Angeles, CA · IA capacity

May 29, 2007 → Aug 31, 2009
Citigroup Global Markets Inc.
Los Angeles, CA · BC capacity

May 29, 2007 → Aug 31, 2009
Citicorp Investment Services
Los Angeles, CA · BC capacity

Dec 8, 2006 → May 29, 2007
Citicorp Investment Services
Los Angeles, CA · IA capacity

Dec 5, 2006 → May 29, 2007

Source & corrections

Where this page comes from

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