Individual Firm
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James McComb
JAMES MICHAEL MCCOMB, Jim McComb, james M McComb
CRD#: 3068837
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 40 Prosperity Ln
Stafford, VA 22556
Stafford, VA 22556
View By:
8/8/2011
Customer Dispute
Closed-No Action
State Registrations
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California 12/1/2023
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Tennessee 3/5/2025
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District of Columbia 6/6/2023
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Texas 6/6/2023
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Florida 11/7/2024
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Texas 6/7/2023
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Illinois 3/19/2025
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Virginia 6/6/2023
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Maryland 6/6/2023
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Virginia 6/6/2023
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North Carolina 6/6/2023
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
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Registered with this firm since 6/6/2023
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Registered with this firm since 6/6/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/24/2016 - 05/22/2023 | Reston, VA | |
B | 05/24/2016 - 05/22/2023 | Reston, VA | |
IA | 07/23/2014 - 01/05/2016 | FT LAUDERDALE, FL | |
IA | 07/21/2014 - 01/05/2016 | FT. LAUDERDALE, FL | |
B | 07/17/2014 - 01/05/2016 | FT. LAUDERDALE, FL | |
IA | 04/16/2014 - 07/01/2014 | POMPANO BEACH, FL | |
B | 04/15/2014 - 07/01/2014 | POMPANO BEACH, FL | |
IA | 01/03/2012 - 06/10/2013 | PHOENIX, AZ | |
B | 11/29/1999 - 06/10/2013 | PHOENIX, AZ | |
IA | 06/06/2008 - 12/31/2011 | PHOENIX, AZ | |
B | 10/14/1998 - 08/19/1999 | TUCSON, AZ |
For additional information about investment advisers or broker-dealers, please visit
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.