James D Vasquez

CRD 6125616 · J.P. Morgan Securities LLC · Ramona, CA

IA RegisteredBroker

Also appears in the source record as: James David Vasquez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (1): California
Years in the industry (source record): 12
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 (10)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Ramona, CA · IA capacity

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

start not retrieved → present
Securities America, Inc.
La Mesa, CA · BC capacity

Jul 20, 2020 → Jun 22, 2023
Pfg Advisors
San Diego, CA · IA capacity

Jul 22, 2020 → Jun 6, 2023
Cuso Financial Services, L.P.
San Diego, CA · IA capacity

Sep 23, 2019 → Mar 20, 2020
Cuso Financial Services, L.P.
San Diego, CA · BC capacity

Sep 23, 2019 → Mar 20, 2020
Axa Advisors, LLC
San Diego, CA · IA capacity

Dec 12, 2018 → Jun 8, 2019
Axa Advisors, LLC
San Diego, CA · BC capacity

Nov 9, 2018 → Jun 8, 2019
Morgan Stanley
La Jolla, CA · IA capacity

May 26, 2017 → Sep 26, 2018
Morgan Stanley
La Jolla, CA · BC capacity

Apr 26, 2017 → Sep 26, 2018

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 6125616 ↗ FINRA BrokerCheck record for CRD 6125616 ↗ 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.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.