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Alexandra Serman

J.P. Morgan Securities LLC
29 Years of Experience
New York, NY
5 DisclosuresBroker
View SEC Summary
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Alexandra Serman is a registered investment advisor at J.P. Morgan Securities LLC, based in New York, NY, with 29 years of industry experience. Alexandra 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

333 East 23rd Street, New York, NY, 10010

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History

Regulatory History (5)
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
February 2016
Denied
Customer Dispute
July 2012
Denied
Customer Dispute
November 2008
Denied
Customer Dispute
October 2008
Denied
Customer Dispute
June 2007
Settled
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.
December 2003 - October 2012 · 8 yrs 10 mos
Chase Investment Services CORP.Broker
October 2001 - October 2012 · 11 yrs
UBS Painewebber INC.Broker
July 2000 - July 2001 · 1 yr
Citicorp Investment ServicesBroker
November 1997 - August 2000 · 2 yrs 9 mos
D. H. Blair & CO., INC.Broker
May 1997 - October 1997 · 5 mos
State Registrations32 states
AKCACOCTDCDEFLGAIDILKSMAMDMNMSMTNCNHNJNVNYOHOKPAPRSCTNTXUTVAVTWA
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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