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Detailed Report
MARK DAVID MASCHARKA
CRD#: 2976868
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 300 NORTHWEST HIGHWAY
CARY, IL 60013
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2003 (5 years)2 FIRMS2005 - 2006 (1 year)3 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BM&I FINANCIAL ADVISORS, INC (CRD# 16517)2006 - 2012 (5 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2003 - 2005 (1 year)IAM&I INVESTMENT MANAGEMENT CORP. (CRD# 109802)2010 - 2012 (2 years)IAM&I FINANCIAL ADVISORS, INC. (CRD# 16517)2006 - 2010 (3 years)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2005 - 2005 (<1 year)
Disclosure(s)
View By:
4/12/2004
Customer Dispute
Denied
License(s)

State Registrations

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Alaska 12/18/2018
B
New Jersey 11/13/2015
B
Arizona 5/31/2016
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New Jersey 11/13/2017
B
California 5/14/2020
B
New York 10/1/2012
B
Colorado 12/7/2016
B
North Carolina 10/1/2012
B
Florida 12/9/2015
B
Ohio 7/3/2013
B
Idaho 6/19/2013
B
Oklahoma 10/1/2012
B
Illinois 10/1/2012
B
Oregon 1/11/2023
IA
Illinois 10/1/2012
B
South Carolina 5/8/2021
B
Indiana 10/1/2012
B
Tennessee 11/7/2018
B
Iowa 1/4/2021
B
Texas 8/14/2018
B
Kansas 10/1/2012
IA
Texas 8/20/2018
B
Michigan 10/7/2022
B
Utah 6/25/2013
B
Minnesota 10/22/2021
B
Washington 11/18/2020
B
Mississippi 7/6/2023
B
Wisconsin 10/1/2012
B
New Hampshire 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)
300 NORTHWEST HIGHWAY, CARY, IL 60013
11440 MAIN STREET, ROSCOE, IL 61073
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
300 NORTHWEST HIGHWAY, CARY, IL 60013
11440 MAIN STREET, ROSCOE, IL 61073
Registered with this firm since 10/1/2012
Previous Registration(s)
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 07/24/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FOX RIVER GROVE, IL
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 07/24/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FOX RIVER GROVE, IL
IA
 04/23/2012 - 07/18/2012 M&I FINANCIAL ADVISORS, INC. (CRD#:16517) JANESVILLE, WI
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 09/11/2006 - 07/18/2012 M&I FINANCIAL ADVISORS, INC (CRD#:16517) JANESVILLE, WI
IA
 04/29/2010 - 04/19/2012 M&I INVESTMENT MANAGEMENT CORP. (CRD#:109802) MILWAUKEE, WI
IA
 09/11/2006 - 03/30/2010 M&I FINANCIAL ADVISORS, INC. (CRD#:16517) JANESVILLE, WI
IA
 07/06/2005 - 08/15/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LOVES PARK, IL
B
 07/06/2005 - 08/15/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LOVES PARK, IL
IA
 06/13/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) LOVES PARK, IL
B
 08/12/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 12/16/1997 - 08/21/2003 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 12/16/1997 - 08/21/2003 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.
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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.