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Who We Are, Who We Serve and How We Serve You

Who We Are

JPMS is a registered broker-dealer and investment advisor with the Securities and Exchange Commission (SEC). JPMS is also a member of the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB) and the Securities Investor Protection Corp. (SIPC).

JPMS offers a broad range of investments and other services to help you and other clients meet their needs, whether it’s saving for retirement, a major purchase or education. We can help you create an integrated and comprehensive strategy on your terms through your J.P. Morgan investment account.

Who We Serve

We provide brokerage services and investment advisory services to retail clients in a number of ways, depending on their individual circumstances and how they prefer to engage with us. This includes working with an advisor located in a Chase branch, online or with a team of phone-based Financial Consultants.

To open an account you must have a valid U.S. residential address, a Social Security or taxpayer identification number and be a U.S citizen or resident alien. In most states, a trust, corporation, non-profit or government entity can also open an account. Some account types may not be available for all clients.

We may ask you to provide certain documentation when you open your account, and from time to time thereafter, to maintain our relationship.


How We Serve You

Our clients can receive a personalized investment strategy that evolves over time. We put the needs of our clients first, and it’s the foundation of our business as we work to understand our clients’ needs, offer informed advice and execute strategies to generate appropriate returns within their risk profile.

When you work with an advisor, they are available to provide personalized advice or other investment guidance (depending on the type of account you open). Among other things, at your request, they can:

  • Help you take a holistic view of your investments, evaluating assets in the account in light of your overall portfolio. This may include suggestions regarding changes across your portfolio intended to help you reduce risk and potentially increase returns, and assistance with rebalancing.
  • Provide views on the market and guidance during periods of market volatility in an attempt to help you avoid ill-timed actions.
  • Periodically review your Goals Based Analysis and investment objectives to help you stay on track to meet the goals most important to you and your family.