Saratoga Springs, NY Rt 50 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
3086 Rt 50
Saratoga Springs NY 12866
Advisors at this office
3
Advisors at this office
Valerie M
Series 63, Series 65
Saratoga Springs, NY
J.P. Morgan Securities
Valerie Mosher is a financial advisor with J.P. Morgan Securities, holding Series 63 and Series 65 credentials and bringing 17 years of industry experience. Her career includes roles at several financial firms such as Fisher Investments, Allstate Financial, and Champion Financial Services. J.P. Morgan Securities provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors, combining quantitative asset-allocation modeling with centralized due diligence and applying an ESG eligibility framework in its recommendations.
Joshua R
Series 66
Saratoga Springs, NY
J.P. Morgan Securities
Joshua Rodriguez is a financial advisor with J.P. Morgan Securities, holding a Series 66 designation and five years of industry experience. His career includes roles at Prudential Financial, LPL Enterprise, and Bank of America. Outside of financial advising, he is also a commissioned notary in New York. J.P. Morgan Securities LLC provides investment consulting and advisory services mainly to institutional clients and retirement plan sponsors through its Institutional Consulting Services program, combining quantitative asset allocation modeling with centralized due diligence and an ESG eligibility framework in its investment recommendations.
Nicolas D
Series 63, Series 66
Saratoga Springs, NY
J.P. Morgan Securities
Nicolas De Troye is a financial advisor with J.P. Morgan Securities, holding Series 63 and Series 66 licenses and bringing 15 years of industry experience. He previously worked at Bank of America and Merrill from 2015 to 2023. Outside of finance, he was involved with the Brazilian Capoeira Center of Saratoga LLC for seven years. J.P. Morgan Securities provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors through its Institutional Consulting Services program, using a quantitative asset-allocation approach combined with centralized due diligence and an ESG eligibility framework.
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