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Thomas Balas

Chief Financial Officer at J.P. Morgan Securities

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

0
Past adviser firms
1
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Thomas Balas is Chief Financial Officer of J.P. Morgan Securities LLC, a New York investment adviser managing $430B. Thomas Balas has a current broker registration and no current investment-adviser registration and has passed the Series 27.

Role at J.P. Morgan Securities

Title on Schedule A
Chief Financial Officer
Control
Thomas Balas is not a control person of J.P. Morgan Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Balas has held the filed role since April 2026.

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 27 · 2007

Registrations and exams

Broker registration; no current adviser registration. Thomas Balas has passed 1 qualifying exam.

Examinations

Series 2731 October 2007
Name
Financial and Operations Principal Examination

Individual record

Full name
Thomas Michael Balas
CRD
2903336
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 Thomas Balas work?

Thomas Balas has been Chief Financial Officer of J.P. Morgan Securities LLC since April 2026.

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

Does Thomas Balas have a current investment-adviser registration?

Thomas Balas 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 Thomas Balas passed?

Thomas Balas passed the Series 27 in October 2007.

Source: IAPD individual record, checked 17 October 2026

Leadership at J.P. Morgan Securities

Sources

  1. IAPD individual record, CRD 2903336. 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 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 Thomas Balas 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.