Individual Firm
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ROGER GRANT MORGAN
CRD#: 1519002
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J.P. MORGAN SECURITIES LLCCRD#: 79 135 SHADOW MOUNTAIN DR
EL PASO, TX 79912
EL PASO, TX 79912
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1/7/2009
Customer Dispute
Denied
10/5/2006
Customer Dispute
Closed-No Action
7/18/2006
Customer Dispute
Denied
State Registrations
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Arizona 10/1/2012
B
Michigan 8/10/2018
B
Arkansas 2/14/2017
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New Mexico 10/1/2012
B
California 7/24/2018
B
New York 9/8/2023
B
Colorado 7/9/2020
B
Ohio 6/18/2018
B
Connecticut 2/8/2017
B
Pennsylvania 6/21/2016
B
Florida 4/16/2015
B
Texas 10/1/2012
B
Georgia 6/30/2016
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Texas 10/1/2012
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Illinois 6/2/2023
B
Utah 6/10/2020
B
Kentucky 10/1/2012
SRO Registrations
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Learn about permitted activities of registered principals
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2010 - 10/01/2012 | EL PASO, TX | |
B | 09/17/2010 - 10/01/2012 | EL PASO, TX | |
IA | 11/18/2005 - 05/15/2009 | EL PASO, TX | |
B | 11/18/2005 - 05/15/2009 | EL PASO, TX | |
IA | 03/01/1999 - 11/18/2005 | ELPASO, TX | |
B | 03/01/1999 - 11/18/2005 | CHICAGO, IL | |
B | 11/24/1997 - 03/01/1999 | HOUSTON, TX | |
B | 06/26/1997 - 12/01/1997 | BOSTON, MA | |
B | 06/03/1996 - 03/12/1997 | PURCHASE, NY |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.