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Detailed Report
Andrei A Neuhaus
ANDREI ALEXI NEUHAUS
CRD#: 2386667
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 140 W. COOK AVENUE
LIBERTYVILLE, IL 60048
Registration History
19952000200520102015202020252 FIRMS2000 - 2004 (3 years)2 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2012 (7 years)2 FIRMS2012 - Present (12 years)BGSG SECURITIES, INC. (CRD# 38166)1999 - 1999 (<1 year)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1993 - 1999 (5 years)
Disclosure(s)
View By:
5/29/2024
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 10/1/2012
B
Missouri 10/1/2012
B
California 10/1/2012
B
Nebraska 10/1/2012
B
Colorado 10/1/2012
B
Nevada 5/12/2016
B
District of Columbia 10/1/2012
B
New Jersey 10/1/2012
B
Florida 10/1/2012
B
New Mexico 11/16/2015
B
Georgia 10/1/2012
B
New York 10/1/2012
B
Hawaii 10/1/2012
B
North Carolina 7/5/2022
B
Illinois 10/1/2012
B
Ohio 2/17/2017
IA
Illinois 10/1/2012
B
Oregon 4/24/2019
B
Indiana 10/1/2012
B
Pennsylvania 10/1/2012
B
Iowa 10/1/2012
B
South Carolina 10/1/2012
B
Kansas 10/1/2012
B
Tennessee 3/23/2015
B
Kentucky 3/18/2015
B
Texas 10/1/2012
B
Louisiana 10/1/2012
IA
Texas 9/20/2013
B
Maryland 10/1/2012
B
Virginia 10/1/2012
B
Massachusetts 10/1/2012
B
Washington 10/1/2012
B
Michigan 10/1/2012
B
Wisconsin 10/1/2012
B
Minnesota 10/1/2012
B
Wyoming 8/11/2015

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)
140 W. COOK AVENUE, LIBERTYVILLE, IL 60048
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
140 W. COOK AVENUE, LIBERTYVILLE, IL 60048
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/06/2005 - 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
IA
 01/23/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 01/23/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
IA
 09/29/2000 - 01/27/2004 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) TINLEY PARK, IL
B
 05/17/2000 - 01/27/2004 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
B
 01/04/1999 - 06/23/1999 GSG SECURITIES, INC. (CRD#:38166) BOCA RATON, FL
B
 09/14/1993 - 01/04/1999 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
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.