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Detailed Report
Bob Austrian
ROBERT B AUSTRIAN, ROBERT BERMAN AUSTRIAN
CRD#: 1142336
IA
Investment Adviser
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Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1 Front Street
San Francisco, CA 94111
Registration History
199019952000200520102015202020252 FIRMS2012 - 2024 (12 years)2 FIRMS2024 - Present (1 year)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)1997 - 2003 (6 years)BMONTGOMERY SECURITIES (CRD# 4357)1996 - 1997 (1 year)BMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)1994 - 1996 (1 year)BNEUBERGER & BERMAN (CRD# 2908)1986 - 1989 (3 years)
License(s)

State Registrations

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Alabama 4/30/2024
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Nebraska 4/30/2024
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Alaska 4/30/2024
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Nevada 4/30/2024
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Arizona 4/30/2024
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New Hampshire 4/30/2024
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Arkansas 4/30/2024
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New Jersey 4/30/2024
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California 4/30/2024
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New Mexico 4/30/2024
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California 4/30/2024
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New York 4/30/2024
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Colorado 4/30/2024
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North Carolina 4/30/2024
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Connecticut 4/30/2024
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North Dakota 4/30/2024
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Delaware 4/30/2024
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Ohio 5/2/2024
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District of Columbia 4/30/2024
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Oklahoma 4/30/2024
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Florida 4/30/2024
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Oregon 4/30/2024
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Georgia 4/30/2024
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Pennsylvania 4/30/2024
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Hawaii 4/30/2024
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Puerto Rico 4/30/2024
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Idaho 4/30/2024
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Rhode Island 4/30/2024
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Illinois 4/30/2024
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South Carolina 4/30/2024
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Indiana 4/30/2024
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South Dakota 4/30/2024
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Iowa 4/30/2024
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Tennessee 4/30/2024
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Kansas 4/30/2024
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Texas 4/30/2024
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Kentucky 4/30/2024
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Texas 4/30/2024
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Louisiana 4/30/2024
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Utah 4/30/2024
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Maine 4/30/2024
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Vermont 4/30/2024
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Maryland 4/30/2024
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Virgin Islands 4/30/2024
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Massachusetts 4/30/2024
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Virginia 4/30/2024
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Michigan 4/30/2024
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Washington 4/30/2024
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Minnesota 4/30/2024
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West Virginia 4/30/2024
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Mississippi 4/30/2024
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Wisconsin 4/30/2024
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Missouri 4/30/2024
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Wyoming 4/30/2024
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Montana 4/30/2024

SRO Registrations

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

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
1 Front Street, San Francisco, CA 94111
Registered with this firm since 4/30/2024
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J.P. MORGAN SECURITIES LLC (CRD#:79)
1 Front Street, San Francisco, CA 94111
Registered with this firm since 4/30/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
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 03/05/2012 - 04/16/2024 NEUBERGER BERMAN BD LLC (CRD#:2908) SAN FRANCISCO, CA
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 01/26/2012 - 04/16/2024 NEUBERGER BERMAN BD LLC (CRD#:2908) SAN FRANCISCO, CA
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 10/01/1997 - 12/02/2003 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
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 08/12/1996 - 10/01/1997 MONTGOMERY SECURITIES (CRD#:4357) SAN FRANCISCO, CA
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 07/08/1994 - 02/29/1996 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NEW YORK, NY
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 04/25/1986 - 07/31/1989 NEUBERGER & BERMAN (CRD#:2908) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.