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Detailed Report
JAMES FREDERICK GIRARDEAU JR
CRD#: 3076427
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 405 Colorado St
Floor 22
Austin, TX 78701
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2012 (6 years)2 FIRMS2012 - Present (12 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2000 - 2006 (6 years)BOLDE DISCOUNT CORPORATION (CRD# 5979)1998 - 2000 (1 year)IAFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2004 - 2006 (1 year)
Disclosure(s)
View By:
7/10/2008
Customer Dispute
Settled
3/12/2008
Customer Dispute
Denied
3/10/2008
Customer Dispute
Closed-No Action
5/23/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/24/2023
B
Minnesota 3/10/2016
B
Arkansas 10/1/2012
B
Missouri 8/9/2017
B
California 10/1/2012
B
North Carolina 10/1/2012
B
Colorado 6/15/2018
B
Oklahoma 4/13/2022
B
Connecticut 7/22/2022
B
Oregon 10/1/2012
B
Florida 7/5/2013
B
Pennsylvania 11/29/2017
B
Georgia 10/1/2012
B
Tennessee 8/18/2015
B
Illinois 2/7/2023
B
Texas 10/1/2012
B
Indiana 11/30/2021
IA
Texas 10/1/2012
B
Kentucky 6/5/2023
B
Utah 12/13/2023
B
Louisiana 6/16/2021
B
Virginia 10/1/2012
B
Maryland 10/1/2012
B
Washington 10/1/2012
B
Massachusetts 1/30/2023
B
West Virginia 4/14/2022
B
Michigan 5/9/2016
B
Wisconsin 11/30/2023

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 National, Inc.
B
 NYSE Texas, 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)
405 Colorado St Floor 22, Austin, TX 78701
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
405 Colorado St Floor 22, Austin, TX 78701
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/19/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) AUSTIN, TX
B
 07/19/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) AUSTIN, TX
IA
 08/18/2004 - 07/03/2006 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) AUSTIN, TX
B
 04/05/2000 - 07/03/2006 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) AUSTIN, TX
B
 08/27/1998 - 04/10/2000 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
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.