Rafael Urquidi

CRD 4413389 · J.P. Morgan Securities LLC · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Rafael Enrique Urquidi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 63
Registered states (51): 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 · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
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 (13)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Miami, FL · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Miami, FL · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
Miami, FL · IA capacity

Feb 20, 2014 → Jun 14, 2021
Wells Fargo Clearing Services, LLC
Miami, FL · BC capacity

Feb 19, 2014 → Jun 14, 2021
Barclays Capital Inc.
Miami, FL · IA capacity

Nov 30, 2012 → Mar 7, 2014
Barclays Capital Inc.
Miami, FL · BC capacity

Nov 30, 2012 → Mar 7, 2014
Credit Suisse Securities (USA) LLC
Miami, FL · IA capacity

Nov 28, 2005 → Dec 20, 2012
Credit Suisse Securities (USA) LLC
Miami, FL · BC capacity

Nov 11, 2005 → Dec 20, 2012
Atlas One Financial Group, LLC
Miami, FL · BC capacity

May 19, 2005 → Oct 11, 2005
Ubs International Inc.
Coral Gables, FL · IA capacity

Mar 11, 2003 → May 20, 2005
Ubs International Inc.
New York, NY · BC capacity

Mar 7, 2003 → May 20, 2005
Donaldson Lufkin & Jenrette Securities Corporation
Miami, FL · IA capacity

Oct 5, 2001 → Jan 17, 2003
Donaldson, Lufkin & Jenrette Securities Corporation
Jersey City, NJ · BC capacity

Aug 16, 2001 → Jan 17, 2003

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4413389 ↗ FINRA BrokerCheck record for CRD 4413389 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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