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Detailed Report
Shannon J Bauer
SHANNON JO BAUER, SHANNON JO LAUGHLIN
CRD#: 2346139
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 115 ST RTE 3
SUNBURY, OH 43074
Registration History
19952000200520102015202020252 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - 2019 (3 years)2 FIRMS2020 - Present (5 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BTHE HUNTINGTON INVESTMENT COMPANY (CRD# 16986)2006 - 2009 (3 years)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2005 - 2006 (1 year)BTHE HUNTINGTON INVESTMENT COMPANY (CRD# 16986)1993 - 2004 (11 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)
License(s)

State Registrations

B
California 1/28/2020
IA
Ohio 1/28/2020
B
Ohio 1/28/2020

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)
115 ST RTE 3, SUNBURY, OH 43074
Registered with this firm since 1/28/2020
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
115 ST RTE 3, SUNBURY, OH 43074
Registered with this firm since 1/28/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/07/2016 - 12/06/2019 FIFTH THIRD SECURITIES, INC. (CRD#:628) POWELL, OH
B
 09/09/2016 - 12/06/2019 FIFTH THIRD SECURITIES, INC. (CRD#:628) POWELL, OH
IA
 10/30/2015 - 05/09/2016 WESBANCO SECURITIES, INC. (CRD#:43276) Bexley, OH
B
 11/05/2015 - 05/09/2016 WESBANCO SECURITIES, INC. (CRD#:43276) Bexley, OH
IA
 06/18/2014 - 10/19/2015 FIFTH THIRD SECURITIES, INC. (CRD#:628) COLUMBUS, OH
B
 06/18/2014 - 10/19/2015 FIFTH THIRD SECURITIES, INC. (CRD#:628) COLUMBUS, OH
IA
 05/30/2013 - 06/19/2014 PNC INVESTMENTS (CRD#:129052) GAHANNA, OH
B
 05/30/2013 - 06/19/2014 PNC INVESTMENTS (CRD#:129052) GAHANNA, OH
IA
 10/01/2012 - 05/21/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) MANSFIELD, OH
B
 10/01/2012 - 05/21/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) MANSFIELD, OH
IA
 05/16/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MANSFIELD, OH
B
 10/16/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MANSFIELD, OH
B
 07/28/2006 - 09/22/2009 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) COLUMBUS, OH
B
 01/05/2005 - 06/01/2006 FIFTH THIRD SECURITIES, INC. (CRD#:628) DUBLIN, OH
B
 09/02/1993 - 11/30/2004 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) COLUMBUS, OH
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.