Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Aaron J Brandes
AARON JAMISON BRANDES
CRD#: 2636954
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 8111 Preston Road
Suite #230
Dallas, TX 75225
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BWAMU INVESTMENTS, INC. (CRD# 599)2001 - 2009 (8 years)BINVESTMENT PROFESSIONALS, INC. (CRD# 30184)2001 - 2001 (<1 year)BINVEST FINANCIAL CORPORATION (CRD# 12984)1999 - 2001 (1 year)BAMERICAN HEARTLAND INVESTMENTS... (CRD# 19768)1996 - 1998 (2 years)BCHAPMAN SECURITIES, INC. (CRD# 25688)1996 - 1996 (<1 year)BNEW ENGLAND SECURITIES (CRD# 615)1995 - 1995 (<1 year)IAWAMU INVESTMENTS, INC. (CRD# 599)2008 - 2009 (1 year)
Disclosure(s)
View By:
11/21/2008
Customer Dispute
Denied
10/31/2008
Customer Dispute
Settled
3/28/2005
Customer Dispute
Denied
8/13/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 7/27/2018
B
Nebraska 10/17/2013
B
Alaska 10/17/2013
B
New Mexico 10/17/2013
B
Arizona 9/10/2021
B
New York 8/28/2018
B
Arkansas 10/1/2012
B
North Carolina 9/2/2015
B
California 10/1/2012
B
North Dakota 10/17/2013
B
Colorado 10/1/2012
B
Ohio 12/3/2018
B
Florida 4/23/2019
B
Oklahoma 9/13/2021
B
Georgia 9/2/2021
B
Oregon 10/1/2012
B
Kansas 10/1/2012
B
Pennsylvania 2/2/2021
B
Louisiana 10/1/2012
B
South Dakota 10/18/2013
B
Maine 9/2/2021
B
Tennessee 1/15/2016
B
Maryland 5/13/2016
B
Texas 10/1/2012
B
Massachusetts 4/26/2024
IA
Texas 10/1/2012
B
Minnesota 9/13/2021
B
Utah 8/13/2020
B
Mississippi 10/24/2013
B
Virginia 2/28/2018
B
Missouri 12/17/2013
B
Wyoming 10/17/2013
B
Montana 1/22/2013

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)
8111 Preston Road Suite #230, Dallas, TX 75225
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
8111 Preston Road Suite #230, Dallas, TX 75225
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
B
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
IA
 01/18/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) GARLAND, TX
B
 05/31/2001 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) GARLAND, TX
B
 01/12/2001 - 05/11/2001 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) SAN ANTONIO, TX
B
 03/03/1999 - 01/19/2001 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
 09/17/1996 - 09/14/1998 AMERICAN HEARTLAND INVESTMENTS INC. (CRD#:19768) SALINA, KS
B
 01/17/1996 - 08/15/1996 CHAPMAN SECURITIES, INC. (CRD#:25688) WICHITA, KS
B
 10/30/1995 - 12/31/1995 NEW ENGLAND SECURITIES (CRD#:615) 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.