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Kelly Simms
KELLY MARIE SIMMS
CRD#: 2683921
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 1001 El Camino Real
Redwood City, CA 94063
Redwood City, CA 94063
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Disclosures
29
Years of Experience
View By:
State Registrations
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Arizona 1/17/2020
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New York 10/1/2012
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California 10/1/2012
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North Carolina 7/11/2018
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California 10/1/2012
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Oregon 10/1/2012
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Colorado 11/9/2015
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South Carolina 3/10/2023
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Florida 8/17/2021
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Texas 9/22/2022
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Idaho 8/3/2016
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Virginia 10/20/2021
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Massachusetts 6/3/2013
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Washington 10/1/2012
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Nevada 10/1/2012
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Wisconsin 10/1/2012
SRO Registrations
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/02/2009 - 10/01/2012 | REDWOOD CITY, CA | |
B | 05/02/2009 - 10/01/2012 | REDWOOD CITY, CA | |
IA | 02/23/2006 - 05/02/2009 | REDWOOD CITY, CA | |
B | 05/01/1998 - 05/02/2009 | REDWOOD CITY, CA | |
B | 12/19/1995 - 05/01/1998 | NORTHRIDGE, CA |
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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.
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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.