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Detailed Report
CATHERINE VERONICA EVANS
CATHERINE V EVANS, KATE EVANS
CRD#: 2701639
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 120 E Wesley St, Floor 3
Wheaton, IL 60187
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 1997 (1 year)2 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2012 (5 years)BROYAL AMERICAN INVESTMENT SERV... (CRD# 30721)2000 - 2006 (5 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2000 (1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 1999 (<1 year)BFIRST CHICAGO NBD INVESTMENT S... (CRD# 17516)1997 - 1999 (1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2012 (5 years)
Disclosure(s)
View By:
9/16/2015
Customer Dispute
Denied
License(s)

State Registrations

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Alabama 2/11/2022
B
Missouri 10/1/2012
B
Alaska 10/1/2012
B
Montana 4/9/2020
B
Arizona 10/1/2012
B
Nebraska 10/1/2012
B
California 10/1/2012
B
New Jersey 10/1/2012
B
Colorado 10/1/2012
B
New Mexico 10/1/2012
B
Connecticut 10/1/2012
B
New York 10/1/2012
B
District of Columbia 11/6/2012
B
North Carolina 10/1/2012
B
Florida 10/1/2012
B
North Dakota 7/20/2023
B
Georgia 10/1/2012
B
Ohio 10/1/2012
B
Idaho 10/1/2012
B
Oklahoma 10/1/2012
B
Illinois 10/1/2012
B
Oregon 10/1/2012
IA
Illinois 10/1/2012
B
Pennsylvania 10/1/2012
B
Indiana 10/1/2012
B
South Carolina 10/1/2012
B
Iowa 10/1/2012
B
Tennessee 10/1/2012
B
Kansas 10/1/2012
B
Texas 10/1/2012
B
Kentucky 8/15/2023
IA
Texas 9/13/2013
B
Louisiana 3/6/2018
B
Utah 7/30/2018
B
Maine 8/6/2014
B
Vermont 10/25/2021
B
Maryland 1/19/2016
B
Virginia 8/4/2016
B
Massachusetts 10/1/2012
B
Washington 10/1/2012
B
Michigan 10/1/2012
B
Wisconsin 10/1/2012
B
Minnesota 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)
120 E Wesley St, Floor 3, Wheaton, IL 60187
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
120 E Wesley St, Floor 3, Wheaton, IL 60187
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2007 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WHEATON, IL
B
 12/19/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WHEATON, IL
B
 10/22/2000 - 07/03/2006 ROYAL AMERICAN INVESTMENT SERVICES, INC. (CRD#:30721) DOWNERS GROVE, IL
B
 07/07/1999 - 09/27/2000 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 02/01/1999 - 07/09/1999 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 09/29/1997 - 02/01/1999 FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
 04/12/1996 - 12/04/1997 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 04/12/1996 - 05/01/1997 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
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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.
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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
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.