Seth Berkowitz

CRD 4713329 · J.P. Morgan Securities LLC · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Seth C Berkowitz; Seth Charles Berkowitz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 31Series 7Series 9Series 10Series 24Series 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): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4713329 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 (17)

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
Charlotte, NC · BC capacity

start not retrieved → present
Citizens Securities, Inc.
Flushing, NY · IA capacity

Mar 7, 2022 → Jun 15, 2022
Citizens Securities, Inc.
Flushing, NY · BC capacity

Mar 7, 2022 → Jun 15, 2022
Hsbc Securities (USA) Inc.
Flushing, NY · IA capacity

Feb 1, 2016 → Feb 18, 2022
Hsbc Securities (USA) Inc.
Flushing, NY · BC capacity

Jan 28, 2016 → Feb 18, 2022
Santander Securities
Brooklyn, NY · IA capacity

Jun 15, 2015 → Jan 22, 2016
Santander Securities LLC
Brooklyn, NY · BC capacity

Jun 11, 2015 → Jan 22, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · IA capacity

Nov 24, 2014 → May 27, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Nov 21, 2014 → May 27, 2015
Citigroup Global Markets Inc.
Roslyn, NY · IA capacity

Oct 21, 2011 → Feb 25, 2013
Citigroup Global Markets Inc.
Roslyn, NY · BC capacity

Oct 14, 2011 → Feb 25, 2013
Chase Investment Services Corp.
Brooklyn, NY · IA capacity

Dec 8, 2005 → Jan 4, 2010
Chase Investment Services Corp.
Brooklyn, NY · BC capacity

Dec 8, 2005 → Jan 4, 2010
Morgan Stanley
Jericho, NY · IA capacity

Mar 29, 2005 → Dec 5, 2005
Morgan Stanley Dw Inc.
Jericho, NY · BC capacity

Feb 11, 2005 → Dec 5, 2005
David Lerner Associates, Inc.
Syosset, NY · BC capacity

Feb 11, 2004 → Jan 24, 2005

Source & corrections

Where this page comes from

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