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CFP
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CFP

Stephan Rothe

J.P. Morgan Securities LLC
28 Years of Experience
Morristown, NJ
Broker
View SEC Summary
View SEC Summary

Stephan Rothe is a CFP-designated registered investment advisor at J.P. Morgan Securities LLC, based in Morristown, NJ, with 28 years of industry experience. Stephan 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

225 South Street 2nd Floor, Morristown, NJ, 07960

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Stephan is an employee of both JPMorgan Securities and JPMorgan Bank since 2018. As an employee of JPMorgan Bank, he can offer bank products and services, including deposit and credit products.

Employment History
Current Registrations
J.P. Morgan Securities LLC
March 2013 - Present · 13 yrs 7 mos
J.P. Morgan Securities LLCBroker
March 2013 - Present · 13 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2005 - March 2013 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1998 - March 2013 · 15 yrs 1 mo
Chatfield Dean & CO., INC.Broker
February 1994 - March 1994 · 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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