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Detailed Report
Matthew Farrier
MATT FARRIER, MATTHEW HAYDEN FARRIER
CRD#: 4032487
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 9350 S. COLORADO BLVD.
HIGHLANDS RANCH, CO 80126
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2006 - 2010 (4 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2000 - 2005 (4 years)BNEW ENGLAND SECURITIES (CRD# 615)1999 - 2000 (<1 year)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2005 - 2005 (<1 year)
Disclosure(s)
View By:
5/15/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/27/2017
B
Minnesota 3/16/2020
B
Arizona 10/1/2012
B
Missouri 4/27/2015
B
Arkansas 10/28/2022
B
Montana 9/30/2013
B
California 10/1/2012
B
Nebraska 11/2/2017
B
Colorado 10/1/2012
B
Nevada 7/7/2014
IA
Colorado 10/1/2012
B
New Jersey 9/8/2022
B
Delaware 8/24/2023
B
New Mexico 6/8/2020
B
Florida 10/1/2012
B
North Carolina 10/1/2012
B
Georgia 10/1/2012
B
Ohio 1/31/2018
B
Hawaii 4/2/2018
B
Oregon 2/14/2024
B
Idaho 5/19/2023
B
Pennsylvania 7/26/2016
B
Illinois 11/2/2012
B
Tennessee 6/17/2013
B
Indiana 11/8/2012
B
Texas 10/1/2012
B
Iowa 2/5/2016
IA
Texas 9/20/2013
B
Kansas 4/25/2017
B
Vermont 9/13/2021
B
Louisiana 6/8/2020
B
Virginia 9/3/2015
B
Massachusetts 10/1/2012
B
Washington 10/1/2012
B
Michigan 1/30/2014
B
Wyoming 1/10/2022

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)
9350 S. COLORADO BLVD., HIGHLANDS RANCH, CO 80126
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
9350 S. COLORADO BLVD., HIGHLANDS RANCH, CO 80126
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/06/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GREENWOOD VILLAGE, CO
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 10/06/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GREENWOOD VILLAGE, CO
B
 09/15/2006 - 10/04/2010 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) CENTENNIAL, CO
IA
 07/06/2005 - 08/28/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BOULDER, CO
B
 07/06/2005 - 08/28/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BOULDER, CO
IA
 02/22/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) BOULDER, CO
B
 08/31/2000 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 11/04/1999 - 08/18/2000 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
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.
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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
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.