Tiburon, CA Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Tiburon CA
Advisors at this office
2
Advisors at this office
Jeffrey S
Series 63, Series 65
Tiburon, CA
J.P. Morgan Securities
Jeffrey Schottenstein is a financial advisor at J.P. Morgan Securities with 31 years of industry experience. He holds Series 63 and Series 65 credentials and has worked at firms including Merrill, Bank of America, and First Republic Investment Management. Outside of his advisory work, he serves as president of the Sara Schottenstein Foundation, which supports the development of new cancer treatments, and is a board member of the Gastric Cancer Foundation. 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 an ESG eligibility framework.
Steven S
Series 63, Series 65
Tiburon, CA
J.P. Morgan Securities
Steven Soja is a financial advisor with J.P. Morgan Securities, holding Series 63 and Series 65 licenses and bringing 31 years of industry experience. He has worked at JPMorgan Chase Bank, NA, and First Republic Investment Management, Inc. Outside of his advisory role, Soja serves as Chair of the Investment Committee and board member for Family House Inc., a nonprofit providing housing to families seeking treatment at UCSF Children's Hospital. J.P. Morgan Securities LLC delivers institutional consulting services to corporations, foundations, and defined contribution plan sponsors, offering asset allocation advice, investment manager searches, and customized performance reporting through a team of Wealth Advisors. The firm combines institutional advisory services with brokerage and investment management capabilities, operating with a centralized due-diligence framework that includes ESG eligibility processes.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")