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Detailed Report
Frank J Renda Jr.
FRANK J RENDA JR, FRANK JOHN RENDA JR, Frank Renda Jr.
CRD#: 2505766
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 4745 E. ELLIOT RD
PHOENIX, AZ 85044
Registration History
1995200020052010201520202025IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - Present (7 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2016 - Present (8 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2015 - 2016 (1 year)BNEWPORT COAST SECURITIES, INC. (CRD# 16944)2012 - 2015 (2 years)BLIBERTY PARTNERS FINANCIAL SER... (CRD# 130390)2011 - 2012 (<1 year)BNEWPORT COAST SECURITIES, INC. (CRD# 16944)2008 - 2011 (2 years)BBASIC INVESTORS INC. (CRD# 1187)2001 - 2008 (7 years)BFIRST UNION SECURITIES FINANCI... (CRD# 11025)1995 - 2001 (6 years)
Disclosure(s)
View By:
2/24/2022
Customer Dispute
Denied
11/23/2011
Customer Dispute
Closed-No Action
8/31/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/14/2016
B
Missouri 7/15/2022
IA
Arizona 4/26/2018
B
New York 6/1/2018
B
California 11/19/2020
B
Texas 6/21/2016
B
Colorado 4/5/2019
IA
Texas 4/25/2018
B
Illinois 11/23/2021
B
Utah 7/14/2021
B
Kentucky 11/7/2019
B
Washington 7/1/2024
B
Michigan 9/1/2021
B
Wyoming 6/10/2024

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)
4745 E. ELLIOT RD, PHOENIX, AZ 85044
Registered with this firm since 4/25/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
4745 E. ELLIOT RD, PHOENIX, AZ 85044
Registered with this firm since 6/9/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/15/2015 - 05/03/2016 SAGEPOINT FINANCIAL, INC. (CRD#:133763) CHANDLER, AZ
B
 07/11/2012 - 01/29/2015 NEWPORT COAST SECURITIES, INC. (CRD#:16944)
FINRA expelled the firm on 06/25/2018
NEW YORK, NY
B
 12/06/2011 - 06/15/2012 LIBERTY PARTNERS FINANCIAL SERVICES, LLC (CRD#:130390) RALEIGH, NC
B
 10/27/2008 - 08/26/2011 NEWPORT COAST SECURITIES, INC. (CRD#:16944)
FINRA expelled the firm on 06/25/2018
NEW YORK, NY
B
 07/31/2001 - 10/27/2008 BASIC INVESTORS INC. (CRD#:1187) HICKSVILLE, NY
B
 05/24/1995 - 08/06/2001 FIRST UNION SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) ST. LOUIS, MO
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.