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Seth Gusow

J.P. Morgan Securities LLC
28 Years of Experience
Los Angeles, CA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Seth Gusow is a registered investment advisor at J.P. Morgan Securities LLC, based in Los Angeles, CA, with 28 years of industry experience. Seth 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

2029 Century Park E, Floor 40, Los Angeles, CA, 90067

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History

Regulatory History (2)
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
October 1998
Denied
Customer Dispute
July 1998
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLC
February 2024 - Present · 2 yrs 8 mos
J.P. Morgan Securities LLCBroker
October 2020 - Present · 6 yrs
Previous Registrations
Imperial Capital, LLCBroker
November 2011 - November 2020 · 9 yrs
Fbn Securities, INC.Broker
May 2003 - November 2011 · 8 yrs 6 mos
National Securities CorporationBroker
May 2003 - May 2003 · 0 mos
Prudential Securities IncorporatedBroker
March 2000 - February 2002 · 1 yr 11 mos
Dean Witter Reynolds INC.Broker
June 1998 - March 2000 · 1 yr 9 mos
Josephthal & CO., INC.Broker
July 1997 - July 1998 · 1 yr
Prudential Securities IncorporatedBroker
June 1997 - August 1997 · 2 mos
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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