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
Lisa M Forsythe
LISA MARIE FORSYTHE, LISA MARIE JIMENEZ
CRD#: 2170378
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 5847 San Felipe St
Houston, TX 77057
Registration History
19952000200520102015202020252 FIRMS2000 - 2012 (12 years)2 FIRMS2012 - Present (12 years)BADVANTAGE CAPITAL CORPORATION (CRD# 146)2000 - 2000 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 1999 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 1999 (3 years)
Disclosure(s)
View By:
3/31/2008
Customer Dispute
Settled
1/5/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 10/1/2012
B
Montana 10/18/2013
B
Alaska 10/17/2013
B
Nebraska 10/17/2013
B
Arizona 1/22/2016
B
New Jersey 1/30/2025
B
Arkansas 10/18/2013
B
New Mexico 10/1/2012
B
California 10/1/2012
B
New York 1/13/2016
B
Colorado 10/1/2012
B
North Carolina 10/1/2012
B
Florida 10/1/2012
B
North Dakota 10/17/2013
B
Georgia 5/14/2015
B
South Dakota 10/18/2013
B
Hawaii 12/18/2013
B
Tennessee 2/19/2025
B
Idaho 5/25/2022
B
Texas 10/1/2012
B
Illinois 10/1/2012
IA
Texas 10/1/2012
B
Indiana 10/1/2012
B
Virginia 4/25/2024
B
Kansas 10/21/2013
B
Washington 7/20/2017
B
Louisiana 10/1/2012
B
Wisconsin 6/18/2019
B
Mississippi 10/23/2013
B
Wyoming 10/17/2013
B
Missouri 9/9/2019

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

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)
5847 San Felipe St, Houston, TX 77057
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
5847 San Felipe St, Houston, TX 77057
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/12/2000 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
 10/12/2000 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
 01/26/2000 - 10/02/2000 ADVANTAGE CAPITAL CORPORATION (CRD#:146) ATLANTA, GA
B
 02/25/1999 - 12/08/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/19/1995 - 03/11/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.