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Detailed Report
CHRISTOPHER PAUL FRANCESE
CRD#: 4087186
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 230 ARDEN AVE.
STATEN ISLAND, NY 10312
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2002 (<1 year)2 FIRMS2007 - 2010 (2 years)2 FIRMS2010 - 2015 (5 years)2 FIRMS2015 - 2021 (5 years)2 FIRMS2021 - Present (3 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2002 - 2007 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2002 (1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (2 years)
License(s)

State Registrations

B
Arizona 5/20/2021
B
New Jersey 5/20/2021
B
California 5/20/2021
IA
New Jersey 6/14/2021
B
Colorado 5/16/2023
B
New Mexico 5/20/2021
B
Connecticut 5/20/2021
B
New York 5/20/2021
B
Delaware 5/20/2021
IA
New York 7/8/2021
B
District of Columbia 5/20/2021
B
North Carolina 5/20/2021
B
Florida 5/20/2021
B
Pennsylvania 5/20/2021
B
Maryland 8/25/2021
B
Rhode Island 1/12/2022
B
Massachusetts 5/20/2021
B
Texas 6/25/2021
B
Michigan 6/25/2021
IA
Texas 7/29/2021
B
Minnesota 5/20/2021

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)
230 ARDEN AVE., STATEN ISLAND, NY 10312
Registered with this firm since 6/14/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
230 ARDEN AVE., STATEN ISLAND, NY 10312
Registered with this firm since 5/20/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/08/2015 - 05/18/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BROOKLYN, NY
B
 12/04/2015 - 05/18/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BROOKLYN, NY
IA
 01/21/2010 - 12/09/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEW YORK, NY
B
 01/15/2010 - 12/09/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEW YORK, NY
IA
 05/29/2007 - 01/27/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BROOKLYN, NY
B
 05/29/2007 - 01/27/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BROOKLYN, NY
IA
 11/09/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) BROOKLYN, NY
B
 12/18/2002 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) BROOKLYN, NY
IA
 10/17/2002 - 12/17/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) HEWLETT, NY
B
 10/17/2002 - 12/17/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 11/02/2000 - 05/09/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.
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.