Plano, TX 4004 Legacy Drive 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
4004 Legacy Drive
Plano TX 75024
Advisors at this office
3
Advisors at this office
Keith H
Series 63, Series 66
Plano, TX
J.P. Morgan Securities
Keith Hudson is a financial advisor with J.P. Morgan Securities in Plano, TX, holding Series 63 and Series 66 licenses and bringing 26 years of industry experience. He has worked at JPMorgan Chase Bank and J.P. Morgan Securities since 2015 and is also involved in a private label supplements business called NaturesRX. J.P. Morgan Securities LLC provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors. The firm combines quantitative asset-allocation modeling with centralized due diligence and applies an ESG eligibility framework when recommending investment strategies.
Thao N
Series 66, Series 63
Plano, TX
J.P. Morgan Securities
Thao Nguyen is a financial advisor with J.P. Morgan Securities, holding Series 66 and Series 63 licenses, and has five years of industry experience. Prior to joining J.P. Morgan Securities in 2023, Nguyen worked at Fidelity Brokerage Services, Charles Schwab, and TD Ameritrade. Outside of finance, Nguyen has experience with Certified Languages International and medical-related video services. J.P. Morgan Securities LLC provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors, utilizing a process that combines quantitative asset-allocation modeling with centralized due diligence and ESG considerations.
Vivian M
Series 63, Series 66
Plano, TX
J.P. Morgan Securities
Vivian Maass is a financial advisor at J.P. Morgan Securities with 15 years of industry experience. She holds Series 63 and Series 66 designations and has been with J.P. Morgan Securities since 2012. She is also the owner of Yimudi LLC. J.P. Morgan Securities provides institutional consulting services to corporations, foundations, and defined contribution plan sponsors, offering asset allocation advice, investment manager and fund searches, and customized performance reporting. The firm combines large institutional advisory operations with brokerage and investment management capabilities.
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