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Detailed Report
ERIC DOW ETSHMAN
ERIC D ETSHMAN
CRD#: 2262282
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 500 Stanton Christiana Rd
Newark, DE 19713
Registration History
19952000200520102015202020252 FIRMS2013 - 2014 (1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2022 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - Present (10 years)BVSR FINANCIAL SERVICES, INC. (CRD# 14503)2004 - 2013 (8 years)BFIRST SECURITY INVESTMENTS, INC. (CRD# 24035)2003 - 2004 (1 year)BWACHOVIA SECURITIES FINANCIAL ... (CRD# 11025)1998 - 2003 (5 years)BNICHOLAS-APPLEGATE SECURITIES ... (CRD# 31205)1997 - 1998 (<1 year)BJOHN NUVEEN & CO., INCORPORATED (CRD# 469)1993 - 1997 (4 years)IAVSR ADVISORY SERVICES (CRD# 14503)2004 - 2012 (8 years)IAWACHOVIA SECURITIES FINANCIAL ... (CRD# 11025)2002 - 2003 (<1 year)
License(s)

State Registrations

B
Alabama 4/13/2017
B
Montana 4/13/2017
B
Alaska 4/13/2017
B
Nebraska 4/13/2017
B
Arizona 4/13/2017
B
Nevada 4/13/2017
B
Arkansas 4/13/2017
B
New Hampshire 4/13/2017
B
California 4/13/2017
B
New Jersey 4/13/2017
B
Colorado 4/13/2017
B
New Mexico 4/13/2017
B
Connecticut 4/13/2017
B
New York 9/30/2014
B
Delaware 9/30/2014
B
North Carolina 4/17/2017
IA
Delaware 1/10/2022
B
North Dakota 4/13/2017
B
District of Columbia 4/13/2017
B
Ohio 4/13/2017
B
Florida 4/13/2017
B
Oklahoma 4/13/2017
B
Georgia 4/13/2017
B
Oregon 4/13/2017
B
Hawaii 4/13/2017
B
Pennsylvania 4/13/2017
B
Idaho 4/13/2017
B
Puerto Rico 4/13/2017
B
Illinois 4/13/2017
B
Rhode Island 4/13/2017
B
Indiana 4/13/2017
B
South Carolina 4/13/2017
B
Iowa 4/13/2017
B
South Dakota 4/13/2017
B
Kansas 4/13/2017
B
Tennessee 4/13/2017
B
Kentucky 4/13/2017
B
Texas 4/13/2017
B
Louisiana 4/13/2017
B
Utah 4/13/2017
B
Maine 4/13/2017
B
Vermont 4/13/2017
B
Maryland 4/13/2017
B
Virgin Islands 4/13/2017
B
Massachusetts 4/13/2017
B
Virginia 4/13/2017
B
Michigan 4/13/2017
B
Washington 4/13/2017
B
Minnesota 4/13/2017
B
West Virginia 4/13/2017
B
Mississippi 4/13/2017
B
Wisconsin 4/13/2017
B
Missouri 4/13/2017
B
Wyoming 4/13/2017

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 National, Inc.
B
 NYSE Texas, 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)
500 Stanton Christiana Rd, Newark, DE 19713
Landenberg, PA
Registered with this firm since 1/10/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
500 Stanton Christiana Rd, Newark, DE 19713
Landenberg, PA
Registered with this firm since 9/30/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/29/2013 - 08/08/2014 ESI FINANCIAL ADVISORS (CRD#:265) MEDIA, PA
B
 07/26/2013 - 08/08/2014 EQUITY SERVICES, INC. (CRD#:265) MEDIA, PA
B
 09/30/2004 - 07/30/2013 VSR FINANCIAL SERVICES, INC. (CRD#:14503) FAIRFAX, VA
IA
 10/08/2004 - 12/31/2012 VSR ADVISORY SERVICES (CRD#:14503) FAIRFAX, VA
B
 04/15/2003 - 09/30/2004 FIRST SECURITY INVESTMENTS, INC. (CRD#:24035) KINGSTON, PA
IA
 06/24/2002 - 04/15/2003 WACHOVIA SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) WILMINGTON, DE
B
 04/03/1998 - 04/15/2003 WACHOVIA SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) ST. LOUIS, MO
B
 05/02/1997 - 04/02/1998 NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (CRD#:31205) SAN DIEGO, CA
B
 02/02/1993 - 04/04/1997 JOHN NUVEEN & CO., INCORPORATED (CRD#:469) CHICAGO, IL
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.