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Dominic Smith

J.p. Morgan Securities LLC

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About Dominic Smith

Dominic Smith is a registered representative with J.P. Morgan Securities LLC. Dominic has been in the securities industry since October 2020. Dominic is registered to sell securities in 53 states and the District of Columbia. Dominic is also registered with the Financial Industry Regulatory Authority (FINRA). Dominic holds the following securities licenses: Series 63, Series 79TO and the SIE. Dominic's previous employment was with WELLS FARGO SECURITIES, LLC.

Firm Information

Dominic Smith is currently registered with J.p. Morgan Securities LLC. J.p. Morgan Securities LLC is a Limited Liability Company formed in 1985. It is headquartered in NEW YORK, NY, United States. The firm has over 50 billion in assets under management and provides a variety of financial services, including financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors.
J.p. Morgan Securities LLC

383 MADISON AVE

NEW YORK, NY 10179

$249.73B

Assets Under Management

262,026

Total Clients

26,783

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fee computed based on cents-per-share-deposited-into-the-account

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Dominic Smith’s Registration & Firm History

TX

12/01/2021 - Present

J.p. Morgan Securities LLC (HOUSTON TX)

TX

09/11/2020 - 11/09/2021

WELLS FARGO SECURITIES, LLC (HOUSTON TX)

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Licenses & Designations

BC

Issued 08/14/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/11/2020

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 07/18/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dominic Smith.
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