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Detailed Report
ERIK ROBERT ANDERSON
CRD#: 4127143
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 7980 S. HOWELL AVE.
OAK CREEK, WI 53154
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (1 year)2 FIRMS2005 - 2012 (6 years)2 FIRMS2012 - Present (12 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2002 - 2004 (2 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2001 - 2002 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)2000 - 2000 (<1 year)
License(s)

State Registrations

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Alabama 8/8/2018
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New Hampshire 2/3/2023
B
Arizona 10/1/2012
B
New Jersey 2/3/2023
B
Arkansas 1/26/2021
B
New Mexico 10/5/2015
B
California 10/1/2012
B
New York 7/18/2013
B
Colorado 6/8/2016
B
North Carolina 2/3/2023
B
Delaware 2/3/2023
B
Ohio 7/18/2013
B
Florida 10/1/2012
B
Oklahoma 1/25/2013
B
Georgia 2/3/2023
B
Pennsylvania 10/1/2012
B
Illinois 10/1/2012
B
Puerto Rico 2/3/2023
B
Indiana 6/8/2016
B
Rhode Island 2/17/2022
B
Iowa 2/3/2023
B
South Carolina 6/20/2013
B
Kansas 2/3/2023
B
Tennessee 2/3/2023
B
Kentucky 2/3/2023
B
Texas 6/8/2016
B
Maine 2/3/2023
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Texas 6/21/2016
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Maryland 3/10/2015
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Utah 10/29/2015
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Massachusetts 8/8/2016
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Vermont 8/9/2022
B
Michigan 4/15/2013
B
Virginia 2/3/2023
B
Minnesota 2/3/2023
B
Washington 2/3/2023
B
Missouri 2/22/2021
B
Wisconsin 10/1/2012
B
Nevada 7/12/2016
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Wisconsin 10/1/2012

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)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
7980 S. HOWELL AVE., OAK CREEK, WI 53154
Registered with this firm since 10/1/2012
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J.P. MORGAN SECURITIES LLC (CRD#:79)
7980 S. HOWELL AVE., OAK CREEK, WI 53154
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
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 12/05/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CUDAHY, WI
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 12/05/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CUDAHY, WI
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 05/28/2004 - 01/04/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) BROOKFIELD, WI
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 05/28/2004 - 01/04/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 03/28/2002 - 06/09/2004 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
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 08/13/2001 - 04/04/2002 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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 03/13/2000 - 11/22/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.