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John Oliva

Chief Compliance Officer at J.P. Morgan Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

John Oliva is Chief Compliance Officer of J.P. Morgan Investment Management Inc., a New York investment adviser managing $3.52T. John Oliva has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at J.P. Morgan Investment Management

Title on Schedule A
Chief Compliance Officer
Control
John Oliva is not a control person of J.P. Morgan Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
John Oliva has held the filed role since August 2020.

The firm

J.P. Morgan Investment Management Inc.
New York, NY

Form ADV filed 26 August 2026

$3.52T AUM128,965 clients2,260 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 10 and Series 9 · 2023
  2. Passed SIE · 2018
  3. Passed Series 63 · 2012
  4. Passed Series 14 · 1990
  5. Passed Series 8 · 1988
  6. Passed Series 7 · 1983

Registrations and exams

Broker registration; no current adviser registration. John Oliva has passed 7 qualifying exams.

Examinations

Series 633 July 2012
Name
Uniform Securities Agent State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 1425 March 1990
Name
Compliance Officer Examination
Series 827 September 1988
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 December 1983
Name
General Securities Representative Examination

Individual record

Full name
John L Oliva
CRD
1197135
Firm
J.P. Morgan Investment Management Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does John Oliva work?

John Oliva has been Chief Compliance Officer of J.P. Morgan Investment Management Inc. since August 2020.

Source: Form ADV, Schedule A, filed 26 August 2026

Does John Oliva have a current investment-adviser registration?

John Oliva has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has John Oliva passed?

John Oliva has passed 7 licensing exams: the Series 7, Series 8, Series 14, Series 63, SIE, Series 10 and Series 9. The earliest, the Series 7, was passed in December 1983.

Source: IAPD individual record, checked 17 October 2026

Leadership at J.P. Morgan Investment Management

  • John Donohue
    Director / President / CEO / Head of Global Liquidity
  • Benjamin Hesse
    Director / Chief Financial Officer / Treasurer
  • Peter Bonanno
    General Counsel, Asset Management
  • Joy Dowd
    Director
  • George Gatch
    Director/Chairman
  • Jedediah Isiah Laskowitz
    Director / Head of Global Private Markets and Customized Solutions
  • Andrea Lisher
    Director / Head of Americas, Client
  • Katherine Manghillis
    Secretary
  • Robert Michele
    Director /Head of Global Fixed Income, Currency & Commodities
  • Anton Pil
    Director / Head of Global Alternative Investment Solutions
  • Andrew Powell
    Director / Am Cao / Head of Global Client Service / Senior Business Manager
  • Paul Quinsee
    Director/Head of Global Equities

Sources

  1. IAPD individual record, CRD 1197135. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of J.P. Morgan Investment Management Inc., filed 26 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with John Oliva or J.P. Morgan Investment Management Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.