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Douglas M Bray
DOUGLAS MARTIN BRAY
CRD#: 2907254
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J.P. MORGAN SECURITIES LLCCRD#: 79 602 NORTH HIGH POINT ROAD
MADISON, WI 53717
MADISON, WI 53717
View By:
3/20/2020
Customer Dispute
Denied
1/28/2003
Regulatory
Final
State Registrations
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Alabama 10/26/2016
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Nebraska 7/25/2017
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Arizona 10/1/2012
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New Jersey 7/25/2017
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California 1/9/2014
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New Mexico 7/25/2017
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Colorado 5/22/2013
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New York 6/25/2013
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Connecticut 7/26/2017
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North Carolina 10/1/2012
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District of Columbia 7/26/2017
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Ohio 10/1/2012
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Florida 10/1/2012
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Oregon 10/1/2012
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Georgia 2/23/2016
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Pennsylvania 3/26/2014
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Illinois 10/1/2012
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Puerto Rico 7/15/2021
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Indiana 5/17/2017
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Rhode Island 6/14/2021
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Iowa 6/6/2014
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South Carolina 10/6/2012
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Kansas 4/10/2013
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Tennessee 3/13/2017
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Kentucky 9/10/2021
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Texas 10/1/2012
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Louisiana 4/27/2022
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Texas 9/20/2013
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Maryland 7/25/2017
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Vermont 7/31/2017
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Massachusetts 8/5/2014
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Virginia 10/1/2012
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Michigan 6/18/2013
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Washington 10/1/2012
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Minnesota 10/1/2012
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West Virginia 6/29/2023
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Missouri 10/1/2012
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Wisconsin 10/1/2012
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Montana 3/31/2015
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Wisconsin 10/1/2012
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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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 | 07/06/2005 - 10/01/2012 | MADISON, WI | |
B | 07/06/2005 - 10/01/2012 | MADISON, WI | |
IA | 06/13/2003 - 07/06/2005 | BEAVER DAM, WI | |
B | 06/23/2003 - 07/06/2005 | CHICAGO, IL | |
B | 10/16/1997 - 12/31/2002 | ST. PAUL, MN | |
B | 10/16/1997 - 12/31/2002 | ST. PAUL, MN |
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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.