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Detailed Report
Mark O Maddock
MARK OWEN MADDOCK
CRD#: 1944051
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 465 MAIN
BELLEVILLE, MI 48111
Registration History
199019952000200520102015202020252 FIRMS1990 - 1992 (2 years)2 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2012 (7 years)2 FIRMS2012 - Present (12 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)2000 - 2003 (2 years)BNATCITY INSURANCE SERVICES, INC. (CRD# 16989)2000 - 2001 (1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2000 (1 year)BFIRST CHICAGO NBD INVESTMENT S... (CRD# 17516)1996 - 1999 (2 years)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)1992 - 1996 (3 years)BBLINDER, ROBINSON & CO., INC. (CRD# 5096)1989 - 1989 (<1 year)
Disclosure(s)
View By:
6/25/2008
Customer Dispute
Settled
License(s)

State Registrations

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Alabama 10/1/2012
IA
Michigan 10/1/2012
B
Arizona 5/22/2013
B
Missouri 10/1/2012
B
California 10/1/2012
B
New Mexico 3/1/2018
B
Colorado 5/13/2013
B
New York 10/1/2012
B
Connecticut 10/1/2012
B
North Carolina 10/1/2012
B
District of Columbia 7/2/2019
B
North Dakota 3/14/2014
B
Florida 10/1/2012
B
Ohio 10/1/2012
B
Georgia 10/19/2018
B
Oregon 4/21/2023
B
Illinois 10/1/2012
B
Pennsylvania 10/1/2012
B
Indiana 10/18/2018
B
South Carolina 8/3/2020
B
Kansas 10/1/2012
B
Tennessee 4/11/2023
B
Kentucky 10/1/2012
B
Texas 4/1/2013
B
Maine 5/26/2017
IA
Texas 9/19/2013
B
Maryland 1/4/2013
B
Virginia 10/1/2012
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Michigan 10/1/2012
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Wisconsin 2/6/2014

SRO Registrations

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 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
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 MIAX Emerald, LLC
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 MIAX PEARL, LLC
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 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)
465 MAIN, BELLEVILLE, MI 48111
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
465 MAIN, BELLEVILLE, MI 48111
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BELLEVILLE, MI
B
 07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BELLEVILLE, MI
IA
 08/18/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) BELLEVILLE, MI
B
 08/15/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 12/22/2000 - 09/05/2003 NATCITY INVESTMENTS, INC. (CRD#:17490) CLEVELAND, OH
B
 12/22/2000 - 12/31/2001 NATCITY INSURANCE SERVICES, INC. (CRD#:16989) CLEVELAND, OH
B
 02/01/1999 - 12/21/2000 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 03/28/1996 - 02/01/1999 FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
 05/07/1992 - 03/21/1996 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 05/08/1990 - 06/03/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 05/08/1990 - 06/03/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
 06/20/1989 - 08/10/1989 BLINDER, ROBINSON & CO., INC. (CRD#:5096)
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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.