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Stephen Witt

J.P. Morgan Securities LLC
41 Years of Experience
Dublin, CA
4 DisclosuresBroker
View SEC Summary
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Stephen Witt is a registered investment advisor at J.P. Morgan Securities LLC, based in Dublin, CA, with 41 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7600 Dublin Blvd, Dublin, CA, 94568

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2013
Settled
Customer Dispute
May 2004
Settled
Customer Dispute
June 2002
Denied
Customer Dispute
January 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLC
October 2012 - Present · 14 yrs
J.P. Morgan Securities LLCBroker
October 2012 - Present · 14 yrs
Previous Registrations
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
February 2006 - May 2009 · 3 yrs 3 mos
Wamu Investments, INC.Broker
July 1997 - May 2009 · 11 yrs 10 mos
Asb Financial ServicesBroker
December 1994 - July 1997 · 2 yrs 7 mos
Griffin Financial ServicesBroker
September 1990 - January 1995 · 4 yrs 4 mos
Great Western Financial Securities CorporationBroker
May 1988 - September 1990 · 2 yrs 4 mos
Security First Financial, INC.Broker
October 1987 - March 1988 · 5 mos
Bma Financial Services, INC.Broker
August 1987 - August 1988 · 1 yr
Thomas F. White & CO., IncorporatedBroker
November 1985 - February 1987 · 1 yr 3 mos
First Investors CorporationBroker
December 1984 - November 1985 · 11 mos
State Registrations16 states
AZCAFLGAIDILKYMIMSNCNVOHORPATXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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