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Randal L Jefferson
RANDAL LEE JEFFERSON
CRD#: 2948564
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 712 Main St, Floor 5
Houston, TX 77002
Houston, TX 77002
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5/31/2007
Customer Dispute
Denied
9/24/2003
Customer Dispute
Denied
State Registrations
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Alaska 5/24/2024
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New Mexico 10/1/2012
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Arizona 10/1/2012
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New York 10/1/2012
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California 10/1/2012
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North Carolina 10/1/2012
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Colorado 10/1/2012
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North Dakota 10/1/2012
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Florida 10/1/2012
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Ohio 10/1/2012
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Georgia 6/19/2015
B
Oklahoma 10/1/2012
B
Idaho 3/30/2025
B
Oregon 10/1/2012
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Illinois 10/27/2023
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Pennsylvania 10/1/2012
B
Indiana 10/1/2012
B
South Carolina 6/26/2018
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Kansas 10/1/2012
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South Dakota 10/1/2012
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Louisiana 10/1/2012
B
Texas 10/1/2012
B
Maryland 2/11/2015
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Texas 10/1/2012
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Massachusetts 6/18/2018
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Virginia 10/1/2012
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Missouri 3/22/2016
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Wisconsin 3/30/2025
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New Jersey 10/1/2012
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
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 | 11/18/2003 - 10/01/2012 | HOUSTON, TX | |
B | 11/18/2003 - 10/01/2012 | HOUSTON, TX | |
IA | 12/13/2002 - 11/05/2003 | HOUSTON, TX | |
B | 12/13/2002 - 11/05/2003 | SAN FRANCISCO, CA | |
IA | 10/31/2000 - 12/16/2002 | HOUSTON, TX | |
B | 10/31/2000 - 12/16/2002 | CHICAGO, IL | |
B | 04/07/1998 - 01/27/1999 | NEW YORK, NY | |
B | 10/03/1997 - 04/01/1998 | PHOENIX, AZ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.