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Roger Klion

Chief Operating Officer at J.P. Morgan Securities

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Roger Klion is Chief Operating Officer of J.P. Morgan Securities LLC, a New York investment adviser managing $430B. Roger Klion has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at J.P. Morgan Securities

Title on Schedule A
Chief Operating Officer
Control
Roger Klion is not a control person of J.P. Morgan Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Roger Klion has held the filed role since October 2020.

The firm

J.P. Morgan Securities LLC
New York, NY

Form ADV filed 30 September 2026

$430B AUM1,246,646 clients8,479 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO, SIE, Series 7TO and Series 24 · 2023
  2. Passed Series 27 · 2012

Registrations and exams

Broker registration; no current adviser registration. Roger Klion has passed 5 qualifying exams.

Examinations

Series 2428 September 2023
Name
General Securities Principal Examination
Series 2723 January 2012
Name
Financial and Operations Principal Examination
Series 7TO29 August 2023
Name
General Securities Representative Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Roger Klion
CRD
5082261
Firm
J.P. Morgan Securities LLC
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 Roger Klion work?

Roger Klion has been Chief Operating Officer of J.P. Morgan Securities LLC since October 2020.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Roger Klion have a current investment-adviser registration?

Roger Klion has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Roger Klion passed?

Roger Klion has passed 5 licensing exams: the Series 27, Series 99TO, SIE, Series 7TO and Series 24. The earliest, the Series 27, was passed in January 2012.

Source: IAPD individual record, checked 18 October 2026

Leadership at J.P. Morgan Securities

Sources

  1. IAPD individual record, CRD 5082261. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of J.P. Morgan Securities LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 18 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 Roger Klion or J.P. Morgan Securities LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.