Ellen Jane Walters

CRD 3060303 · J.P. Morgan Securities LLC · New York, NY

BrokerRegistration inactive

Also appears in the source record as: Ellen Jane Herr

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Inactive
Exams passed (9): Series 79TOSIESeries 7Series 4Series 24Series 10Series 9Series 66Series 63
Registered states (1): New York
Years in the industry (source record): 27
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
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Institutional Investments Inc.
New York, NY · BC capacity

Aug 1, 2017 → Jan 2, 2020
Credit Suisse Securities (USA) LLC
New York, NY · IA capacity

Nov 27, 2006 → Aug 15, 2017
Credit Suisse Securities (USA) LLC
New York, NY · BC capacity

Jan 17, 2003 → Aug 15, 2017
Donaldson, Lufkin & Jenrette Securities Corporation
Jersey City, NJ · BC capacity

Mar 9, 2001 → Jan 17, 2003
Chase Securities Inc.
New York, NY · BC capacity

Nov 7, 2000 → Mar 28, 2001
Salomon Smith Barney Inc.
New York, NY · BC capacity

Dec 23, 1998 → Oct 27, 2000

Source & corrections

Where this page comes from

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