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Detailed Report
Stephen P Spratley
STEPHEN P SPRATLEY, STEPHEN PATRICK SPRATLEY
CRD#: 2541637
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 127 W BROAD ST
LAKE CHARLES, LA 70601
Registration History
19952000200520102015202020252 FIRMS1998 - 2005 (6 years)2 FIRMS2005 - 2012 (7 years)2 FIRMS2012 - Present (12 years)BMARQUIS INVESTMENTS, L.L.C. (CRD# 17121)1997 - 1998 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1995 (<1 year)
Disclosure(s)
View By:
3/12/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/17/2013
B
Mississippi 10/17/2013
B
Arkansas 10/17/2013
B
South Carolina 1/8/2020
B
California 10/1/2012
B
Tennessee 4/16/2024
B
Colorado 10/1/2012
B
Texas 10/1/2012
B
Florida 6/2/2016
IA
Texas 9/20/2013
B
Hawaii 10/17/2013
B
Virginia 1/14/2025
B
Louisiana 10/1/2012
B
Washington 1/14/2025
IA
Louisiana 10/1/2012
B
West Virginia 4/10/2023

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)
127 W BROAD ST, LAKE CHARLES, LA 70601
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
127 W BROAD ST, LAKE CHARLES, LA 70601
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) LAKE CHARLES, LA
B
 07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAKE CHARLES, LA
IA
 08/21/1998 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) LAKE CHARLES, LA
B
 08/03/1998 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 09/17/1997 - 08/19/1998 MARQUIS INVESTMENTS, L.L.C. (CRD#:17121)
B
 11/08/1994 - 09/26/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.