Individual Firm
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NADEEM ALAM
CRD#: 2595956
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 4300 LONE TREE WAY
ANTIOCH, CA 94531
ANTIOCH, CA 94531
0
Disclosures
17
Years of Experience
View By:
State Registrations
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Arizona 11/6/2017
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Nevada 2/1/2018
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California 9/9/2016
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New York 3/24/2017
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California 9/9/2016
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Oregon 6/18/2020
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Connecticut 11/30/2017
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Texas 9/9/2016
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Florida 4/5/2019
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Texas 9/9/2016
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Hawaii 3/3/2022
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Virginia 2/1/2018
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Iowa 10/27/2021
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Washington 1/13/2017
SRO Registrations
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IA
Registered with this firm since 9/9/2016
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Registered with this firm since 9/9/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/15/2013 - 09/08/2016 | WALNUT CREEK, CA | |
B | 11/26/2012 - 09/08/2016 | WALNUT CREEK, CA | |
B | 04/19/2010 - 05/09/2011 | RICHMOND, CA | |
IA | 04/07/2010 - 04/29/2010 | RICHMOND, CA | |
IA | 11/03/2008 - 12/19/2008 | WALNUT CREEK, CA | |
B | 08/01/2008 - 12/19/2008 | WALNUT CREEK, CA | |
B | 07/23/2008 - 08/01/2008 | WALNUT CREEK, CA | |
IA | 03/07/2005 - 11/22/2006 | WALNUT CREEK, CA | |
B | 03/07/2005 - 11/22/2006 | WALNUT CREEK, CA | |
B | 09/28/2004 - 03/07/2005 | SAN DIEGO, CA | |
IA | 01/03/2004 - 08/20/2004 | WALNUT CREEK, CA | |
B | 10/28/2003 - 08/20/2004 | MINNEAPOLIS, MN | |
B | 10/28/2003 - 08/20/2004 | MINNEAPOLIS, MN | |
B | 04/01/1997 - 07/24/1997 | LOS ANGELES, CA |
WALNUT CREEK, CA
01/15/2013 - 09/08/2016
WALNUT CREEK, CA
11/26/2012 - 09/08/2016
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.