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Kathleen Fortoul
KATHLEEN M FORTOUL, KATHLEEN MARY FORTOUL, KATHY FORTOUL, KATHLEEN MARY KOLODZIEJ
CRD#: 1361270
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 Hasbrouck Heights, NJ
Registration History
198519901995200020052010201520202025IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2019 - Present (5 years)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2019 - 2023 (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2019 (19 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1985 - 1994 (9 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2019 (16 years)
Disclosure(s)
View By:
6/24/2014
Judgment / Lien
7/20/2012
Judgment / Lien
License(s)

State Registrations

B
Arizona 9/25/2024

B
Louisiana 9/27/2024

IA
California 5/30/2024

IA
New Jersey 8/15/2019

B
Colorado 9/24/2024

B
New Jersey 9/29/2023

B
Connecticut 9/23/2024

B
Ohio 9/20/2024

B
District of Columbia 9/23/2024

B
Puerto Rico 9/20/2024

B
Florida 9/29/2023

IA
Texas 5/30/2024

B
Idaho 9/23/2024

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)
Hasbrouck Heights, NJ
225 South Street 2nd Floor, Morristown, NJ 07960
Registered with this firm since 5/30/2024

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
Hasbrouck Heights, NJ
225 South Street 2nd Floor, Morristown, NJ 07960
Registered with this firm since 9/29/2023

IA
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559)
115 West Century Road, Paramus, NJ 07652
Registered with this firm since 8/15/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/09/2019 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) Paramus, NJ
IA
12/12/2002 - 08/20/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
08/08/2000 - 08/20/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
04/23/1985 - 12/09/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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B
Broker
IA
Investment Adviser
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.