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Detailed Report
William D Caprine
WILLIAM DAVID CAPRINE
CRD#: 1033191
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 660 NEWPORT CENTER DRIVE
SUITE 750
NEWPORT BEACH, CA 92660
Registration History
198519901995200020052010201520202025IAJ.P. MORGAN SECURITIES LLC (CRD# 79)1999 - Present (26 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)1987 - Present (37 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1987 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1982 - 1983 (1 year)
License(s)

State Registrations

B
Alaska 1/23/2008
B
Montana 9/15/2015
B
Arizona 1/23/2008
B
Nevada 1/23/2008
B
California 10/5/1987
B
New Jersey 1/23/2008
IA
California 1/19/1999
B
New Mexico 6/17/2015
B
Colorado 1/23/2008
B
New York 8/20/2003
B
Connecticut 11/1/2011
B
Ohio 11/2/2011
B
District of Columbia 1/23/2008
B
Oklahoma 7/11/2006
B
Florida 1/23/2008
B
Oregon 2/26/2008
B
Georgia 6/12/2006
B
Pennsylvania 1/23/2008
B
Hawaii 1/23/2008
B
Rhode Island 12/13/2012
B
Idaho 3/1/2013
B
South Carolina 1/23/2008
B
Illinois 1/23/2008
B
Tennessee 6/10/2014
B
Iowa 1/23/2008
B
Texas 3/21/2002
B
Kansas 12/16/2005
IA
Texas 6/1/2017
B
Louisiana 4/4/2017
B
Utah 4/18/2016
B
Maine 7/12/2013
B
Virginia 1/23/2008
B
Maryland 10/30/2015
B
Washington 2/21/2007
B
Massachusetts 7/6/2007
B
Wisconsin 7/1/2004
B
Minnesota 1/23/2008

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
660 NEWPORT CENTER DRIVE SUITE 750, NEWPORT BEACH, CA 92660
Laguna Niguel, CA
Registered with this firm since 1/19/1999
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
660 NEWPORT CENTER DRIVE SUITE 750, NEWPORT BEACH, CA 92660
Laguna Niguel, CA
Registered with this firm since 9/25/1987
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/12/1983 - 10/12/1987 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 03/02/1982 - 09/09/1983 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.