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Sime N Miocic
SAM MIOCIC, SAMMY MIOCIC, SIME NICK MIOCIC
CRD#: 2572105
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 8181 Communications Pkwy Ste C, Floor 04
Plano, TX 75024
Registration History
19952000200520102015202020252 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - 2012 (5 years)2 FIRMS2012 - Present (12 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2005 (<1 year)BQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)BHSBC BROKERAGE (USA) INC. (CRD# 6956)2002 - 2004 (2 years)BJOSEPH GUNNAR & CO. LLC (CRD# 24795)1998 - 2002 (4 years)BNICHOLS, SAFINA, LERNER & CO. INC. (CRD# 35476)1996 - 1998 (1 year)BNOBLE INTERNATIONAL INVESTMENT... (CRD# 15768)1994 - 1996 (1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2005 - 2005 (<1 year)
Disclosure(s)
View By:
12/14/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/1/2012

B
Nebraska 10/1/2012

B
Alaska 10/1/2012

B
Nevada 10/1/2012

B
Arizona 10/1/2012

B
New Hampshire 10/1/2012

B
Arkansas 10/1/2012

B
New Jersey 10/1/2012

B
California 10/1/2012

B
New Mexico 10/1/2012

B
Colorado 10/1/2012

B
New York 10/1/2012

B
Connecticut 10/1/2012

B
North Carolina 10/1/2012

B
Delaware 10/1/2012

B
North Dakota 10/1/2012

B
District of Columbia 10/1/2012

B
Ohio 10/1/2012

B
Florida 10/1/2012

B
Oklahoma 10/1/2012

B
Georgia 10/1/2012

B
Oregon 10/1/2012

B
Hawaii 10/1/2012

B
Pennsylvania 10/1/2012

B
Idaho 10/1/2012

B
Puerto Rico 10/1/2012

B
Illinois 10/1/2012

B
Rhode Island 10/1/2012

B
Indiana 10/1/2012

B
South Carolina 10/1/2012

B
Iowa 10/1/2012

B
South Dakota 10/1/2012

B
Kansas 10/1/2012

B
Tennessee 10/1/2012

B
Kentucky 10/1/2012

B
Texas 10/1/2012

B
Louisiana 10/1/2012

IA
Texas 10/1/2012

B
Maine 10/1/2012

B
Utah 10/1/2012

B
Maryland 10/1/2012

B
Vermont 10/1/2012

B
Massachusetts 10/1/2012

B
Virgin Islands 10/7/2015

B
Michigan 10/1/2012

B
Virginia 10/1/2012

B
Minnesota 10/1/2012

B
Washington 10/1/2012

B
Mississippi 10/1/2012

B
West Virginia 10/1/2012

B
Missouri 10/1/2012

B
Wisconsin 10/1/2012

B
Montana 10/1/2012

B
Wyoming 10/1/2012

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)
8181 Communications Pkwy Ste C, Floor 04, Plano, TX 75024
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
8181 Communications Pkwy Ste C, Floor 04, Plano, TX 75024
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/16/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
B
11/16/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
IA
09/11/2006 - 11/27/2006 IFMG SECURITIES, INC. (CRD#:14416) WILLISTON PARK, NY
B
09/11/2006 - 11/27/2006 IFMG SECURITIES, INC. (CRD#:14416) WILLISTON PARK, NY
IA
08/05/2005 - 09/12/2006 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) WILISTON PARK, NY
B
08/05/2005 - 09/12/2006 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) WILISTON PARK, NY
IA
08/11/2005 - 08/18/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) JERICHO, NY
B
10/20/2004 - 08/18/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
09/20/2004 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
02/22/2002 - 10/15/2004 HSBC BROKERAGE (USA) INC. (CRD#:6956) NEW YORK, NY
B
01/26/1998 - 02/08/2002 JOSEPH GUNNAR & CO. LLC (CRD#:24795) UNIONDALE, NY
B
09/18/1996 - 02/01/1998 NICHOLS, SAFINA, LERNER & CO. INC. (CRD#:35476) NEW YORK, NY
B
12/16/1994 - 09/19/1996 NOBLE INTERNATIONAL INVESTMENTS, INC. (CRD#:15768) BOCA RATON, FL
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Broker
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Investment Adviser
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.