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John T Caulfield
JOHN THOMAS CAULFIELD
CRD#: 2031737
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 4145 W. PETERSON AVENUE
CHICAGO, IL 60646
Registration History
199019952000200520102015202020252 FIRMS2005 - 2012 (7 years)2 FIRMS2012 - Present (12 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2005 (6 years)BFIRST CHICAGO NBD INVESTMENT S... (CRD# 17516)1993 - 1999 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1990 - 1993 (2 years)
Disclosure(s)
View By:
10/17/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/1/2012

B
Missouri 5/21/2015

B
California 10/1/2012

B
Nevada 11/25/2014

B
Colorado 10/22/2020

B
New Jersey 10/8/2018

B
Delaware 11/20/2023

B
North Carolina 11/20/2023

B
Florida 10/1/2012

B
Ohio 3/15/2018

B
Hawaii 10/1/2012

B
Oregon 8/22/2019

B
Illinois 10/1/2012

B
Tennessee 5/25/2017

IA
Illinois 10/1/2012

B
Texas 10/1/2012

B
Indiana 4/27/2021

IA
Texas 9/20/2013

B
Iowa 2/7/2019

B
Virginia 4/26/2023

B
Kansas 10/8/2018

B
West Virginia 7/7/2022

B
Michigan 10/1/2012

B
Wisconsin 4/8/2014

B
Mississippi 4/15/2019

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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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)
4145 W. PETERSON AVENUE, CHICAGO, IL 60646
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
4145 W. PETERSON AVENUE, CHICAGO, IL 60646
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
02/01/1999 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
06/25/1993 - 02/01/1999 FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
04/24/1990 - 01/27/1993 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Broker
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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.