Individual Firm
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LEIF WALLER
CRD#: 3250221
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 420 OLD POST ROAD
BEDFORD, NY 10506
BEDFORD, NY 10506
View By:
3/26/2020
Customer Dispute
Denied
State Registrations
B
Arizona 5/19/2017
IA
New Jersey 10/31/2014
B
California 1/29/2015
B
New York 10/30/2014
B
Connecticut 10/30/2014
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New York 5/3/2021
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Connecticut 5/24/2021
B
North Carolina 1/14/2020
B
Florida 10/6/2015
B
South Carolina 8/13/2019
B
Georgia 10/31/2024
B
Tennessee 9/28/2021
B
Illinois 1/14/2016
B
Texas 8/6/2021
B
Indiana 11/24/2024
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Texas 8/13/2021
B
Massachusetts 3/22/2019
B
Vermont 8/6/2018
B
Michigan 4/9/2015
B
Virginia 6/28/2019
B
New Jersey 10/30/2014
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
IA
Registered with this firm since 10/31/2014
B
Registered with this firm since 10/30/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/29/2013 - 05/02/2014 | WHITE PLAINS, NY | |
B | 01/10/2013 - 05/02/2014 | WHITE PLAINS, NY | |
B | 06/19/2009 - 05/25/2011 | NEW YORK, NY | |
B | 12/16/2008 - 01/12/2009 | NEW CANAAN, CT | |
B | 01/03/2003 - 04/23/2007 | NEW YORK, NY | |
B | 10/27/1999 - 01/03/2003 | NEW YORK, NY |
WHITE PLAINS, NY
01/29/2013 - 05/02/2014
WHITE PLAINS, NY
01/10/2013 - 05/02/2014
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.