J. P. MORGAN SECURITIES INC.
CRD #18718 SEC #801-46056 NEW YORK, NY 212-270-6000
SEC Registered Broker-Dealer
Total AUM
$0
Discretionary
$0
Employees
--
Clients
0
Accounts
0
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 27, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERNARD, CLEMENT MR | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C. P. | I | VICE PRESIDENT AND SECRETARY | NA | |
| BERRY, JAMES C.P. | I | SECRETARY | NA | |
| BERRY, JAMES C.P. | I | SECRETARY | NA | |
| BERRY, JAMES C.P. | I | SECRETARY | NA | |
| BERRY, JAMES C.P. | I | SECRETARY | NA | |
| BOROWIEC, ANN DULLY | I | DIRECTOR/ MANAGING DIRECTOR/CO-HEAD OF US MARKETS PRIVATE BANK | NA | Control |
| BOROWIEC, ANN DULLY | I | DIRECTOR/ MANAGING DIRECTOR/CO-HEAD OF US MARKETS PRIVATE BANK | NA | Control |
| BOROWIEC, ANN DULLY | I | DIRECTOR/ MANAGING DIRECTOR/CO-HEAD OF US MARKETS PRIVATE BANK | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR/MANAGING DIRECTOR/VICE CHAIRMAN | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR/MANAGING DIRECTOR/VICE CHAIRMAN | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR/MANAGING DIRECTOR/VICE CHAIRMAN | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR, CHAIRMAN, PRESIDENT, AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| BRAUNSTEIN, DOUGLAS LEE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR/ CHIEF FINANCIAL OFFICER/ VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR/ CHIEF FINANCIAL OFFICER/ VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR/ CHIEF FINANCIAL OFFICER/ VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR, CHIEF FINANCIAL OFFICER, AND VICE PRESIDENT | NA | Control |
| DIGULLA, JOANN SMYSER | I | CROP | NA | |
| DIGULLA, JOANN SMYSER | I | CROP | NA | |
| DIGULLA, JOANN SMYSER | I | CROP | NA | |
| DIGULLA, JOANN SMYSER | I | CROP | NA | |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DIIORIO, FELICE | I | DIRECTOR AND MANAGING DIRECTOR | NA | Control |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| DZIKI, RICHARD | I | CROP | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| FRANKE, CHRISTOPHER ROBERT | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE | NA | |
| GAHTAN, JOSEPH DAVID | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GENTSCH, GEORGE HENRY | I | CROP | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GHARTEY, JOSEPH KOFI | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| GILL, SARAH | I | DIRECTOR & MANAGING DIRECTOR | NA | Control |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HALFENGER, ALAN KENT JR | I | CROP | NA | |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HERNANDEZ, CARLOS M | I | CHAIRMAN, PRESIDENT, CEO, DIRECTOR, MANAGING DIRECTOR | NA | Control |
| HUBSHER, ELISE ROBIN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| HUBSHER, ELISE ROBIN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| JOHNSON, GREGORY JUDE | I | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | NA | |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| KING, WILLIAM A | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LACEY, GEORGINE RAMSDELL | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| LOCKYER, DAVID JOHN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| LOCKYER, DAVID JOHN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| LOCKYER, DAVID JOHN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| LOCKYER, DAVID JOHN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| LOCKYER, DAVID JOHN | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MACLELLAN, JOHN STEPHEN | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MANNARINO, NICHOLAS JOHN | I | DIRECTOR/ CHIEF OPERATIONS OFFICER/ VICE PRESIDENT | NA | Control |
| MANNARINO, NICHOLAS JOHN | I | DIRECTOR/ CHIEF OPERATIONS OFFICER/ VICE PRESIDENT | NA | Control |
| MANNARINO, NICHOLAS JOHN | I | DIRECTOR/ CHIEF OPERATIONS OFFICER/ VICE PRESIDENT | NA | Control |
| MANNARINO, NICHOLAS JOHN | I | DIRECTOR, MANAGING DIRECTOR, AND CHIEF OPERATIONS OFFICER | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| MCCREE, DONALD H III | I | DIRECTOR, MANAGING DIRECTOR | NA | Control |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| PINILLA, JUAN CARLOS | I | SROP - INSTITUTIONAL EQUITIES | NA | |
| SOLEBELLOFENTON, DARLEEN ANN | I | CROP | NA | |
| SOLEBELLOFENTON, DARLEEN ANN | I | CROP | NA | |
| SOLEBELLOFENTON, DARLEEN ANN | I | CROP | NA | |
| SOLEBELLOFENTON, DARLEEN ANN | I | CROP | NA | |
| STEINHARDT, JOHN | I | DIRECTOR/ MANAGING DIRECTOR/ VICE CHAIRMAN | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR/ MANAGING DIRECTOR/ VICE CHAIRMAN | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR/ MANAGING DIRECTOR/ VICE CHAIRMAN | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| STEINHARDT, JOHN | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| SULLIVAN, MARGARET MARY | I | DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE DIRECTOR | NA | Control |
| TAYLOR, BRENT HENRICKSEN | I | MANAGING DIRECTOR/AGC/DIRECTOR OF COMPLIANCE/CCO | NA | |
| TAYLOR, BRENT HENRICKSEN | I | MANAGING DIRECTOR/AGC/DIRECTOR OF COMPLIANCE/CCO | NA | |
| TAYLOR, BRENT HENRICKSEN | I | MANAGING DIRECTOR/AGC/DIRECTOR OF COMPLIANCE/CCO | NA | |
| TAYLOR, BRENT HENRICKSEN | I | MANAGING DIRECTOR, AGC, CCO, AND DIRECTOR OF COMPLIANCE | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP | NA | |
| WATERS, LISA ESTELLE | I | SROP | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WATERS, LISA ESTELLE | I | SROP - PRIVATE BANKING | NA | |
| WERNER, MARK BLACK | I | DIRECTOR/ CHAIRMAN AND PRESIDENT | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR/ CHAIRMAN AND PRESIDENT | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR/ CHAIRMAN AND PRESIDENT | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| WERNER, MARK BLACK | I | DIRECTOR, VICE CHAIRMAN, AND MANAGING DIRECTOR | NA | Control |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| ZACK, KATHLEEN | I | CHIEF FINANCIAL OFFICER, FINANCIAL DIRECTOR | NA | |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| JPMORGAN SECURITIES HOLDINGS LLC | DE | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | E | Control |
| BOROWIEC, ANN DULLY | I | DIRECTOR/ MANAGING DIRECTOR/CO-HEAD OF US MARKETS PRIVATE BANK | C | Control |
| BRANDOW, PAUL WENDELL | I | DIRECTOR/MANAGING DIRECTOR/VICE CHAIRMAN | C | Control |
| COLLINS, JAMES MICHAEL | I | DIRECTOR/ CHIEF FINANCIAL OFFICER/ VICE PRESIDENT | C | Control |
| HAMBRECHT & QUIST CALIFORNIA (DIRECTLY OWNS 29% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 29 % OF J.P. MORGAN SECURITIES INC. | C | Control |
| HAMBRECHT & QUIST CALIFORNIA (DIRECTLY OWNS 29% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 29 % OF J.P. MORGAN SECURITIES INC. | C | Control |
| HAMBRECHT & QUIST CALIFORNIA (DIRECTLY OWNS 29% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 29 % OF J.P. MORGAN SECURITIES INC. | C | Control |
| HAMBRECHT & QUIST CALIFORNIA (DIRECTLY OWNS 29% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 29 % OF J.P. MORGAN SECURITIES INC. | C | Control |
| J. P. MORGAN CHASE & CO. (DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC.) | DE | ULTIMATE PARENT COMPANY - DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC. | C | Control |
| J. P. MORGAN CHASE & CO. (DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC.) | DE | ULTIMATE PARENT COMPANY - DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC. | C | Control |
| J. P. MORGAN CHASE & CO. (DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC.) | DE | ULTIMATE PARENT COMPANY - DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC. | C | Control |
| J. P. MORGAN CHASE & CO. (DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC.) | DE | ULTIMATE PARENT COMPANY - DIRECTLY OWNS 48% OF J.P. MORGAN SECURITIES INC. | C | Control |
| MANNARINO, NICHOLAS JOHN | I | DIRECTOR/ CHIEF OPERATIONS OFFICER/ VICE PRESIDENT | C | Control |
| STEINHARDT, JOHN | I | DIRECTOR/ MANAGING DIRECTOR/ VICE CHAIRMAN | C | Control |
| TAYLOR, BRENT HENRICKSEN | I | MANAGING DIRECTOR/AGC/DIRECTOR OF COMPLIANCE/CCO | C | |
| WERNER, MARK BLACK | I | DIRECTOR/ CHAIRMAN AND PRESIDENT | C | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. (DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC. | B | |
| J.P. MORGAN SECURITIES HOLDINGS INC. (DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC. | B | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. (DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC. | B | Control |
| J.P. MORGAN SECURITIES HOLDINGS INC. (DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC.) | DE | DIRECTLY OWNS 23% OF J.P. MORGAN SECURITIES INC. | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HAMBRECHT & QUIST GROUP (OWNS 100% OF HAMBRECHT & QUIST CALIFORNIA) | DE | HAMBRECHT & QUIST CALIFORNIA (OWNS 29% OF J.P. MORGAN SECURITIES INC.) | E | |
| HAMBRECHT & QUIST GROUP (OWNS 100% OF HAMBRECHT & QUIST CALIFORNIA) | DE | HAMBRECHT & QUIST CALIFORNIA (OWNS 29% OF J.P. MORGAN SECURITIES INC.) | E | |
| HAMBRECHT & QUIST GROUP (OWNS 100% OF HAMBRECHT & QUIST CALIFORNIA) | DE | HAMBRECHT & QUIST CALIFORNIA (OWNS 29% OF J.P. MORGAN SECURITIES INC.) | E | |
| HAMBRECHT & QUIST GROUP (OWNS 100% OF HAMBRECHT & QUIST CALIFORNIA) | DE | HAMBRECHT & QUIST CALIFORNIA (OWNS 29% OF J.P. MORGAN SECURITIES INC.) | E | |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. (OWNS 100% OF J.P. MORGAN SECURITIES HOLDINGS INC.) | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 23% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. (OWNS 100% OF J.P. MORGAN SECURITIES HOLDINGS INC.) | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 23% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. (OWNS 100% OF J.P. MORGAN SECURITIES HOLDINGS INC.) | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 23% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| J.P. MORGAN CHASE & CO. (OWNS 100% OF J.P. MORGAN SECURITIES HOLDINGS INC.) | DE | J.P. MORGAN SECURITIES HOLDINGS INC. (OWNS 23% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
| JPMORGAN CHASE & CO. | DE | JPMORGAN SECURITIES HOLDINGS LLC (OWNS 100% OF J.P. MORGAN SECURITIES INC.) | E | Control |
Registrations
Federal
IA
Feb 27, 2007 REGISTERED
Notice Filings (51)
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