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Detailed Report
John F Klimas
JOHN FRANCIS KLIMAS, JOHN KLIMAS
CRD#: 2799511
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2 WAVERLY PLACE
MADISON, NJ 07940
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (1 year)2 FIRMS2004 - 2022 (18 years)2 FIRMS2022 - Present (3 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2002 (5 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2002 (<1 year)
Disclosure(s)
View By:
8/3/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/11/2022
B
New Hampshire 5/20/2022
B
California 5/20/2022
B
New Jersey 4/29/2022
B
Colorado 4/24/2024
IA
New Jersey 4/29/2022
B
Connecticut 4/29/2022
B
New York 4/29/2022
B
Delaware 2/23/2023
B
North Carolina 4/29/2022
B
District of Columbia 2/13/2024
B
Ohio 5/11/2022
B
Florida 5/9/2022
B
Pennsylvania 5/10/2022
B
Georgia 8/31/2022
B
South Carolina 5/20/2022
IA
Georgia 11/10/2022
B
Texas 4/29/2022
B
Maryland 5/10/2022
IA
Texas 5/2/2022
B
Massachusetts 5/13/2022
B
Virginia 2/27/2024
IA
Michigan 11/10/2022
B
Washington 5/13/2022
B
Michigan 11/14/2022
B
West Virginia 5/9/2022

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 National, Inc.
B
 NYSE Texas, 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)
2 WAVERLY PLACE, MADISON, NJ 07940
Registered with this firm since 4/29/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2 WAVERLY PLACE, MADISON, NJ 07940
Registered with this firm since 4/29/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2004 - 05/03/2022 PNC INVESTMENTS (CRD#:129052) CEDAR KNOLLS, NJ
B
 04/02/2004 - 05/03/2022 PNC INVESTMENTS (CRD#:129052) CEDAR KNOLLS, NJ
IA
 11/20/2002 - 04/09/2004 QUICK & REILLY, INC. (CRD#:11217) STERLING, NJ
B
 07/25/2002 - 04/09/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
IA
 06/27/2002 - 07/22/2002 MORGAN STANLEY (CRD#:7556) MORRISTOWN, NJ
B
 05/09/1997 - 07/22/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, 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.