Individual Firm
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Rhett W Jefferies
RHETT W JEFFERIES, RHETT WILLIAM JEFFERIES
CRD#: 3053541
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J.P. MORGAN SECURITIES LLCCRD#: 79 100 N STATION PKWY
FARMINGTON, UT 84025
FARMINGTON, UT 84025
View By:
5/10/2012
Customer Dispute
Denied
State Registrations
B
Alabama 10/1/2012
B
Nevada 10/1/2012
B
Alaska 10/1/2012
B
New Hampshire 6/5/2015
B
Arizona 10/1/2012
B
New Jersey 10/1/2012
B
Arkansas 6/5/2015
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New Mexico 10/1/2012
B
California 10/1/2012
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New York 10/1/2012
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Colorado 10/1/2012
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New York 5/3/2021
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Colorado 9/11/2020
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North Carolina 10/1/2012
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Connecticut 10/1/2012
B
North Dakota 6/5/2015
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Delaware 6/5/2015
B
Ohio 10/1/2012
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District of Columbia 10/1/2012
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Ohio 1/28/2022
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Florida 10/1/2012
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Oklahoma 10/1/2012
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Georgia 10/1/2012
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Oregon 10/1/2012
B
Hawaii 10/1/2012
B
Pennsylvania 10/1/2012
B
Idaho 10/1/2012
B
Puerto Rico 6/5/2015
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Illinois 10/1/2012
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Rhode Island 6/5/2015
B
Indiana 10/1/2012
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South Carolina 6/5/2015
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Iowa 6/5/2015
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South Dakota 6/5/2015
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Kansas 6/5/2015
B
Tennessee 10/1/2012
B
Kentucky 10/1/2012
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Texas 10/1/2012
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Louisiana 10/1/2012
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Texas 6/11/2014
B
Maine 6/5/2015
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Utah 10/1/2012
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Maryland 10/1/2012
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Utah 10/1/2012
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Massachusetts 10/1/2012
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Vermont 6/5/2015
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Michigan 10/1/2012
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Virgin Islands 6/5/2015
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Minnesota 6/5/2015
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Virginia 10/1/2012
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Mississippi 10/1/2012
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Washington 10/1/2012
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Missouri 10/1/2012
B
West Virginia 6/5/2015
B
Montana 10/1/2012
B
Wisconsin 10/1/2012
B
Nebraska 10/1/2012
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Wyoming 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 | BOUNTIFUL, UT | |
B | 07/06/2005 - 10/01/2012 | BOUNTIFUL, UT | |
IA | 06/16/2005 - 07/06/2005 | SALT LAKE CITY, UT | |
B | 06/16/2005 - 07/06/2005 | CHICAGO, IL | |
IA | 04/16/2002 - 06/13/2005 | WEST VALLEY CITY, UT | |
B | 04/16/2002 - 06/13/2005 | SAN FRANCISCO, CA | |
IA | 12/29/1998 - 04/18/2002 | SALT LAKE CITY, UT | |
B | 07/06/1998 - 04/18/2002 | NEW YORK, NY |
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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.