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
Denise Brady
DENISE SHELLEY BRADY, DENISE S TUCK, DENISE SHELLEY TUCK
CRD#: 1974852
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 860 E. COLORADO BLVD.
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS1989 - 1992 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BWAMU INVESTMENTS, INC. (CRD# 599)1999 - 2009 (10 years)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1998 - 1999 (<1 year)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1995 - 1998 (3 years)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1992 - 1995 (2 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2006 - 2009 (2 years)
Disclosure(s)
View By:
2/2/2017
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/16/2015
B
Missouri 6/12/2017
B
Arizona 10/1/2012
B
Nevada 10/1/2012
B
Arkansas 2/18/2022
B
New Jersey 3/23/2020
B
California 10/1/2012
B
New York 10/1/2012
IA
California 10/1/2012
B
North Carolina 1/29/2013
B
Colorado 10/1/2012
B
Oregon 9/5/2014
B
Connecticut 3/3/2023
B
Pennsylvania 7/8/2019
B
Florida 10/1/2012
B
Texas 1/15/2014
B
Georgia 8/10/2017
IA
Texas 1/16/2014
B
Idaho 12/9/2024
B
Utah 10/1/2012
B
Illinois 10/1/2012
B
Virginia 2/5/2016
B
Indiana 7/1/2016
B
Washington 10/1/2012
B
Mississippi 8/8/2013

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)
860 E. COLORADO BLVD., PASADENA, CA 91101
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
860 E. COLORADO BLVD., PASADENA, CA 91101
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
B
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
IA
 07/17/2006 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) PASADENA, CA
B
 01/01/1999 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) PASADENA, CA
B
 03/03/1998 - 01/01/1999 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
B
 03/30/1995 - 03/07/1998 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
B
 08/18/1992 - 02/22/1995 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 09/28/1989 - 07/09/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 09/28/1989 - 07/09/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
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.