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Detailed Report
JAMES PATRICK KNOX
CRD#: 2512797
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 Ambler, PA
Registration History
19952000200520102015202020252 FIRMS2016 - Present (8 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2013 - 2016 (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2008 - 2013 (4 years)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2001 - 2008 (7 years)BJ.P. MORGAN SECURITIES INC. (CRD# 15733)2000 - 2001 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 2000 (5 years)IABARCLAYS CAPITAL INC. (CRD# 19714)2013 - 2015 (2 years)
License(s)

State Registrations

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Alabama 8/25/2016
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Nevada 8/25/2016
B
Alaska 8/25/2016
B
New Hampshire 8/25/2016
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Arizona 8/25/2016
B
New Jersey 8/25/2016
B
Arkansas 8/25/2016
B
New Mexico 8/25/2016
B
California 8/25/2016
B
New York 8/25/2016
B
Colorado 8/25/2016
B
North Carolina 8/25/2016
B
Connecticut 8/25/2016
B
North Dakota 8/25/2016
B
Delaware 8/25/2016
B
Ohio 8/25/2016
B
District of Columbia 8/25/2016
IA
Ohio 1/5/2022
B
Florida 8/25/2016
B
Oklahoma 8/25/2016
B
Georgia 8/25/2016
B
Oregon 8/25/2016
B
Hawaii 8/25/2016
B
Pennsylvania 8/25/2016
B
Idaho 8/25/2016
IA
Pennsylvania 8/25/2016
B
Illinois 8/25/2016
B
Puerto Rico 8/25/2016
B
Indiana 8/25/2016
B
Rhode Island 8/25/2016
B
Iowa 8/25/2016
B
South Carolina 8/25/2016
B
Kansas 8/25/2016
B
South Dakota 8/25/2016
B
Kentucky 8/25/2016
B
Tennessee 8/25/2016
B
Louisiana 8/25/2016
B
Texas 8/25/2016
B
Maine 8/25/2016
IA
Texas 8/25/2016
B
Maryland 8/25/2016
B
Utah 8/25/2016
B
Massachusetts 8/25/2016
B
Vermont 8/25/2016
B
Michigan 8/25/2016
B
Virgin Islands 8/25/2016
B
Minnesota 8/25/2016
B
Virginia 8/25/2016
B
Mississippi 8/25/2016
B
Washington 8/25/2016
B
Missouri 8/25/2016
B
West Virginia 8/25/2016
B
Montana 8/25/2016
B
Wisconsin 8/25/2016
B
Nebraska 8/25/2016
B
Wyoming 8/25/2016

SRO Registrations

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 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
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 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)
Ambler, PA
Registered with this firm since 8/25/2016
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
Ambler, PA
Registered with this firm since 8/25/2016
Previous Registration(s)
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 04/08/2013 - 08/04/2016 BARCLAYS CAPITAL INC. (CRD#:19714) PHILADELPHIA, PA
IA
 04/09/2013 - 12/28/2015 BARCLAYS CAPITAL INC. (CRD#:19714) PHILADELPHIA, PA
B
 10/01/2008 - 04/05/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) PHILADELPHIA, PA
B
 03/02/2001 - 10/01/2008 J.P. MORGAN SECURITIES INC. (CRD#:18718) PHILADELPHIA, PA
B
 07/21/2000 - 05/01/2001 J.P. MORGAN SECURITIES INC. (CRD#:15733) NEW YORK, NY
B
 09/22/1994 - 07/13/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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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.