Broker Manual
J.P. Morgan Securities provides a full-service platform for experienced investors. A Financial Advisor can provide experienced guidance and informed views on the general direction of the capital markets that you can utilize to make portfolio decisions. J.P. Morgan's robust product platform allows clients to take advantage of opportunities in today's increasingly global market, which includes complex financial instruments.
In addition to traditional equities and fixed income products, we offer structured products and an industry-leading alternative investments platform for qualified investors that includes hedge funds and private equity Whether your investment strategy consists of a portfolio of stocks, bonds, mutual funds, alternative investments and structured products, you’ll know that your Financial Advisor is leveraging a world-class products and services platform and award-winning research to develop your plan. About our firm and investment professionals through FINRA BrokerCheck. The views and strategies described may not be suitable for all investors. This material has been prepared for informational purposes only, and is not intended to provide, and should not be relied on for tax, legal or accounting advice.
You should consult your own tax, legal and accounting advisors before engaging in any transaction. Securities are offered by J.P. Morgan Securities LLC. ('JPMS'), member FINRA and SIPC. When JPMS acts as a broker-dealer, a client's relationship with us and our duties to the client will be different in some important ways than a client's relationship with us and our duties to the client when we are acting as an investment advisor. A client should carefully read the agreements and disclosures received (including our Form ADV disclosure brochure, if and when applicable) in connection with our provision of services for important information about the capacity in which we will be acting. This document provides information about the brokerage and investment advisory services provided by J.P. Morgan Securities LLC ('JPMS'). The agreements entered into by and disclosures provided to clients with respect to the different products and services provided by JPMS should be carefully read (including our Form ADV disclosure brochure, if and when applicable), which contain important information, including our provision of services for important information about the capacity in which we will be acting.
We encourage clients to speak to their JPMS representative regarding the nature of the products and services and to ask any questions they may have about the difference between brokerage and investment advisory services, including the obligation to disclose conflicts of interests and to act in the best interests of our clients. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. JPMCB, JPMS and CIA are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states. Morgan Securities” is a brand name for a wealth management business conducted by JPMorgan Chase & Co (“JPMC”) and its subsidiaries worldwide. JPMorgan Chase Bank, N.A.
And its affiliates (collectively “JPMCB”) offer investment products, which may include bank-managed accounts and custody, as part of its trust and fiduciary services. Other investment products and services, such as brokerage and advisory accounts, are offered through J.P. Morgan Securities LLC (JPMS), a member of and. JPMCB and JPMS are affiliated companies under the common control of JPMorgan Chase & Co. INVESTMENT AND INSURANCE PRODUCTS ARE:. NOT FDIC INSURED. NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY.
Customs Broker Manual
NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK, N.A. OR ANY OF ITS AFFILIATES. SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED.
Lynx Broker Manual
Comprehensive Supervisory Procedures to Fit Your Broker-Dealer The NCS Regulatory Compliance written supervisory procedures (WSP) manual can be fully customized to match your firm’s policies and procedures and comply with FINRA regulatory requirements. The supervisory procedures manual addresses compliance functions of your firm, as well as registered representative requirements and assignments. A supervisory forms package is also available for customization. Broker-Dealer manual: easy to use and understand The broker-dealer manual can be customized or purchased in template format.
25 hp mercury outboard parts diagram. The sections are written in plain English by our senior compliance consultants, who have decades of experience in the financial services industry, and are designed to meet the requirements under Rule 3010.