Louisville, KY W Jefferson St Office
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J.P. Morgan Securities
Institution
Firm-wide stats for J.P. Morgan Securities
About
J.P. Morgan Securities LLC provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors through its Institutional Consulting Services program, offering asset‑allocation advice, investment manager and fund searches, and customized performance reporting. Services are delivered by a select group of Wealth Advisors and are provided on a non‑discretionary basis, with clients retaining final decision‑making authority.
The firm’s process combines quantitative asset‑allocation modeling with centralized due diligence performed by a manager‑solutions team at a J.P. Morgan affiliate, and it applies an ESG eligibility framework when assembling investable universes and recommending Eligible Strategies. For the Program, JPMS generally charges asset‑based fees rather than fixed fees and limits recommendations to funds and strategies approved through its internal review processes.
Distinctive features include registrations and activities that are uncommon among peers: JPMS is registered as a security‑based swap dealer and as a futures commission merchant and is affiliated with swap‑dealer activities, expanding the product types it can access. The advisory business operates within the broader J.P. Morgan broker‑dealer and banking organization, commonly recommends affiliated funds and revenue‑sharing arrangements, and discloses a history of regulatory enforcement actions and settlements in its brochure.
Based on J.P. Morgan Securities
Location
416 W Jefferson St, Floor 01
Louisville KY 40202
Advisors at this office
2
Advisors at this office
Katherine P
CFP®, Series 63, Series 66
Louisville, KY
J.P. Morgan Securities
Katherine Pope Rodriguez is a CFP® professional with six years of experience in the financial industry, currently serving as an advisor at J.P. Morgan Securities since 2021. She also has a background at JPMorgan Chase Bank, N.A. dating back to 2011 and is a board member of the Harrison County Community Foundation, where she contributes to the finance committee. Outside of her advisory role, she is a partner in KEAT Ventures LLC, a company that invests in residential rental properties. J.P. Morgan Securities LLC provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors, combining quantitative asset-allocation modeling with centralized due diligence and an ESG eligibility framework to guide its recommendations.
Sherry C
Series 63, Series 66
Louisville, KY
J.P. Morgan Securities
Sherry Carrico is a financial advisor at J.P. Morgan Securities with 24 years of industry experience. She holds Series 63 and Series 66 designations and has worked at J.P. Morgan Securities and its affiliated entities since 2016, following a long tenure at Bank One/Chase Bank from 1993 to 2021. J.P. Morgan Securities provides institutional consulting services to corporations, foundations, and defined contribution plan sponsors, offering asset allocation advice, investment manager searches, and customized performance reporting through a select group of Wealth Advisors. The firm combines large institutional advisory operations with broker-dealer and investment adviser registrations, delivering recommendations on a non-discretionary basis.
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