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Detailed Report
KIP DAVID SCHAEFER
CRD#: 3009125
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 560 Mission St
Floor 22
San Francisco, CA 94105
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2019 (4 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2021 - Present (4 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2019 - Present (5 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1998 - 2008 (10 years)
License(s)

State Registrations

B
Alabama 7/12/2019
B
Nebraska 7/12/2019
B
Alaska 7/12/2019
B
Nevada 7/12/2019
B
Arizona 7/12/2019
B
New Hampshire 7/12/2019
B
Arkansas 7/12/2019
B
New Jersey 7/12/2019
B
California 7/12/2019
B
New Mexico 7/12/2019
IA
California 3/1/2021
B
New York 7/12/2019
B
Colorado 7/12/2019
B
North Carolina 7/12/2019
B
Connecticut 7/12/2019
B
North Dakota 7/12/2019
B
Delaware 7/12/2019
B
Ohio 7/12/2019
B
District of Columbia 7/12/2019
B
Oklahoma 7/12/2019
B
Florida 7/12/2019
B
Oregon 7/12/2019
B
Georgia 7/12/2019
B
Pennsylvania 7/12/2019
B
Hawaii 7/12/2019
B
Puerto Rico 7/12/2019
B
Idaho 7/12/2019
B
Rhode Island 7/12/2019
B
Illinois 7/12/2019
B
South Carolina 7/12/2019
B
Indiana 7/12/2019
B
South Dakota 7/12/2019
B
Iowa 7/12/2019
B
Tennessee 7/12/2019
B
Kansas 7/12/2019
B
Texas 7/12/2019
B
Kentucky 7/12/2019
IA
Texas 11/17/2022
B
Louisiana 7/12/2019
B
Utah 7/12/2019
B
Maine 7/12/2019
B
Vermont 7/12/2019
B
Maryland 7/12/2019
B
Virgin Islands 7/12/2019
B
Massachusetts 7/12/2019
B
Virginia 7/12/2019
B
Michigan 7/12/2019
B
Washington 7/12/2019
B
Minnesota 7/12/2019
B
West Virginia 7/12/2019
B
Mississippi 7/12/2019
B
Wisconsin 7/12/2019
B
Missouri 7/12/2019
B
Wyoming 7/12/2019
B
Montana 7/12/2019

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)
560 Mission St Floor 22, San Francisco, CA 94105
Registered with this firm since 3/1/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
560 Mission St Floor 22, San Francisco, CA 94105
Registered with this firm since 7/12/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/05/2014 - 04/23/2019 ALLIANCEBERNSTEIN L.P. (CRD#:108477) PHILADEPHIA, PA
B
 08/05/2014 - 04/23/2019 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) PHILADELPHIA, PA
B
 02/23/1998 - 08/05/2008 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, 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.