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BRIAN E YORTY
CRD#: 3168571
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1165 COAST VILLAGE RD, STE K
MONTECITO, CA 93108
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
4/9/2009
Customer Dispute
Denied
4/9/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/1/2012

B
Nevada 11/17/2021

B
California 10/1/2012

B
New Jersey 10/6/2023

IA
California 10/1/2012

B
New York 7/24/2014

B
Colorado 10/1/2012

B
North Carolina 12/3/2015

B
District of Columbia 10/6/2023

B
Ohio 3/2/2016

B
Florida 9/16/2013

B
Pennsylvania 10/1/2012

B
Georgia 12/12/2016

B
South Carolina 10/6/2023

B
Hawaii 10/1/2012

B
Tennessee 1/5/2025

B
Idaho 10/1/2012

B
Texas 10/1/2012

B
Illinois 5/3/2013

IA
Texas 9/20/2013

B
Indiana 9/21/2023

B
Utah 2/13/2015

B
Maryland 10/18/2018

B
Washington 1/24/2013

B
Montana 5/24/2021

B
West Virginia 7/1/2013

B
Nebraska 5/10/2021

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)
1165 COAST VILLAGE RD, STE K, MONTECITO, CA 93108
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1165 COAST VILLAGE RD, STE K, MONTECITO, CA 93108
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SANTA BARBARA, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SANTA BARBARA, CA
IA
07/17/2007 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) SANTA BARBARA, CA
B
07/17/2007 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) SANTA BARBARA, CA
IA
11/29/2004 - 07/10/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN JUAN CAPISTRANO, CA
B
11/10/2004 - 07/10/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN JUAN CAPISTRANO, CA
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B
Broker
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Investment Adviser
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.