Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
John I Yoshitake
JOHN ISAO YOSHITAKE, JOHN YOSHITAKE
CRD#: 1560840
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 31250 Palos Verdes Dr W Floor 01
Rancho Palos Verdes, CA 90275
Registration History
199019952000200520102015202020252 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BTD AMERITRADE, INC. (CRD# 7870)2004 - 2023 (19 years)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)2004 - 2004 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1987 - 2004 (16 years)BE-W INVESTMENTS, INC. (CRD# 17463)1986 - 1986 (<1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2006 - 2023 (17 years)IATD AMERITRADE, INC. (CRD# 7870)2004 - 2022 (18 years)
License(s)

State Registrations

IA
California 8/7/2023
IA
Texas 8/7/2023
B
California 8/8/2023
B
Texas 8/8/2023
B
North Carolina 8/8/2023

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

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)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
31250 Palos Verdes Dr W Floor 01, Rancho Palos Verdes, CA 90275
Registered with this firm since 8/7/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
31250 Palos Verdes Dr W Floor 01, Rancho Palos Verdes, CA 90275
Registered with this firm since 8/7/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2022 - 06/26/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Long Beach, CA
IA
 04/24/2006 - 06/26/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) LONG BEACH, CA
B
 01/25/2022 - 06/26/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Long Beach, CA
B
 05/11/2004 - 06/26/2023 TD AMERITRADE, INC. (CRD#:7870) Long Beach, CA
IA
 09/27/2004 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Long Beach, CA
B
 03/31/2004 - 05/21/2004 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
 07/07/1987 - 03/02/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 10/29/1986 - 12/23/1986 E-W INVESTMENTS, INC. (CRD#:17463)
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.