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Rick Groom
RICHARD RONALD GROOM JR, RICHARD Ronald GROOM, RICHARD GROOM, RICK GROOM, Richard R Groom Jr…
CRD#: 2191812
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 425 GLEN COVE RD.
ROSLYN HEIGHTS, NY 11577
Registration History
19952000200520102015202020252 FIRMS2022 - Present (2 years)BMORNINGSTAR INVESTMENT SERVICE... (CRD# 112525)2020 - 2022 (2 years)BASSETMARK BROKERAGE, LLC (CRD# 169804)2014 - 2018 (4 years)BCAPITAL BROKERAGE CORPORATION (CRD# 10465)2014 - 2014 (<1 year)BJANUS DISTRIBUTORS LLC (CRD# 28832)2007 - 2014 (6 years)BDREYFUS SERVICE CORPORATION (CRD# 231)2001 - 2004 (2 years)BJ.P. MORGAN FUND DISTRIBUTORS,... (CRD# 26501)1996 - 2001 (5 years)BVAN ECK SECURITIES CORPORATION (CRD# 2269)1991 - 1996 (4 years)
License(s)

State Registrations

B
Connecticut 11/9/2022

B
North Carolina 3/14/2023

B
Florida 1/26/2023

B
South Carolina 3/14/2023

B
New Jersey 12/8/2022

B
Tennessee 3/6/2023

B
New York 12/8/2022

B
Virginia 2/8/2023

IA
New York 12/13/2022

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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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
425 GLEN COVE RD., ROSLYN HEIGHTS, NY 11577
Registered with this firm since 12/13/2022

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
425 GLEN COVE RD., ROSLYN HEIGHTS, NY 11577
Registered with this firm since 11/8/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/02/2020 - 11/11/2022 MORNINGSTAR INVESTMENT SERVICES LLC (CRD#:112525) CHICAGO, IL
B
08/15/2014 - 12/10/2018 ASSETMARK BROKERAGE, LLC (CRD#:169804) CONCORD, CA
B
03/21/2014 - 08/15/2014 CAPITAL BROKERAGE CORPORATION (CRD#:10465) GLEN ALLEN, VA
B
03/08/2007 - 02/28/2014 JANUS DISTRIBUTORS LLC (CRD#:28832) DENVER, CO
B
06/01/2001 - 02/19/2004 DREYFUS SERVICE CORPORATION (CRD#:231) NEW YORK, NY
B
05/08/1996 - 05/29/2001 J.P. MORGAN FUND DISTRIBUTORS, INC. (CRD#:26501) BOSTON, MA
B
11/21/1991 - 04/09/1996 VAN ECK SECURITIES CORPORATION (CRD#:2269) NEW YORK, NY
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B
Broker
IA
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.