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THOMAS FROTHINGHAM
CRD#: 3210341
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 430 STATE ROUTE 35
RED BANK, NJ 07701
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - Present (11 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2010 - 2012 (1 year)BWALTER J. DOWD, INC. (CRD# 32701)2007 - 2009 (2 years)BKABRIK TRADING LLC (CRD# 104460)2006 - 2007 (<1 year)BWALTER J. DOWD, INC. (CRD# 32701)2000 - 2006 (6 years)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2011 - 2012 (1 year)
License(s)

State Registrations

B
Arizona 8/25/2016

B
New Jersey 1/31/2014

B
California 2/23/2022

IA
New Jersey 2/6/2014

B
Connecticut 1/31/2014

B
New York 1/31/2014

B
Delaware 11/29/2023

B
North Carolina 9/4/2018

B
Florida 4/9/2018

B
Ohio 10/9/2020

B
Georgia 7/28/2015

B
Pennsylvania 2/17/2015

B
Illinois 7/23/2024

B
South Carolina 5/6/2016

B
Maryland 8/24/2016

B
Vermont 9/19/2014

B
Massachusetts 3/17/2015

B
Virginia 8/24/2021

B
Minnesota 6/22/2016

B
Wisconsin 11/26/2024

B
Mississippi 1/19/2018

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

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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)
430 STATE ROUTE 35, RED BANK, NJ 07701
1210 Highway 35, Middletown, NJ 07748
Registered with this firm since 2/6/2014

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
430 STATE ROUTE 35, RED BANK, NJ 07701
1210 Highway 35, Middletown, NJ 07748
Registered with this firm since 1/31/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/13/2012 - 01/24/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
03/13/2012 - 01/24/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
IA
01/03/2011 - 02/27/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SHREWSBURY, NJ
B
12/15/2010 - 02/27/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SHREWSBURY, NJ
B
02/08/2007 - 03/09/2009 WALTER J. DOWD, INC. (CRD#:32701) NEW YORK, NY
B
10/16/2006 - 02/08/2007 KABRIK TRADING LLC (CRD#:104460) NEW YORK, NY
B
10/01/2000 - 10/28/2006 WALTER J. DOWD, INC. (CRD#:32701) NEW YORK, NY
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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.