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Detailed Report
Tia B Mahaffy
TIA LEE BRUNELLI, TIA BRUNELLI, TIA LEE MAHAFFY
CRD#: 2641803
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 100 W Putnam Ave
Floor 04
Greenwich, CT 06830
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2000 - 2008 (7 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1999 - 2001 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 1998 (2 years)
License(s)

State Registrations

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Alabama 10/5/2022
B
Nebraska 10/5/2022
B
Alaska 10/5/2022
B
Nevada 10/5/2022
B
Arizona 10/5/2022
B
New Hampshire 10/5/2022
B
Arkansas 10/5/2022
B
New Jersey 10/5/2022
B
California 10/5/2022
B
New Mexico 10/5/2022
B
Colorado 10/5/2022
B
New York 10/5/2022
IA
Connecticut 9/14/2022
B
North Carolina 10/5/2022
B
Connecticut 10/5/2022
B
North Dakota 10/5/2022
B
Delaware 10/5/2022
B
Ohio 10/6/2022
B
District of Columbia 10/5/2022
B
Oklahoma 10/5/2022
B
Florida 10/5/2022
B
Oregon 10/5/2022
B
Georgia 10/5/2022
B
Pennsylvania 10/5/2022
B
Hawaii 10/5/2022
B
Puerto Rico 10/5/2022
B
Idaho 10/5/2022
B
Rhode Island 10/5/2022
B
Illinois 10/5/2022
B
South Carolina 10/5/2022
B
Indiana 10/5/2022
B
South Dakota 10/5/2022
B
Iowa 10/5/2022
B
Tennessee 10/5/2022
B
Kansas 10/5/2022
B
Texas 10/5/2022
B
Kentucky 10/5/2022
IA
Texas 10/5/2022
B
Louisiana 10/5/2022
B
Utah 10/5/2022
B
Maine 10/5/2022
B
Vermont 10/5/2022
B
Maryland 10/5/2022
B
Virgin Islands 10/5/2022
B
Massachusetts 10/5/2022
B
Virginia 10/5/2022
B
Michigan 10/5/2022
B
Washington 10/5/2022
B
Minnesota 10/5/2022
B
West Virginia 10/5/2022
B
Mississippi 10/5/2022
B
Wisconsin 10/5/2022
B
Missouri 10/5/2022
B
Wyoming 10/5/2022
B
Montana 10/5/2022

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)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
100 W Putnam Ave Floor 04, Greenwich, CT 06830
Registered with this firm since 9/14/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 W Putnam Ave Floor 04, Greenwich, CT 06830
Registered with this firm since 10/5/2022
Previous Registration(s)
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 11/03/2000 - 03/28/2008 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
B
 07/28/1999 - 12/31/2001 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
 08/08/1995 - 06/26/1998 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.