Individual Firm
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RAUL RAFAEL MORENO
CRD#: 4140096
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 45 QUAKER RIDGE ROAD
NEW ROCHELLE, NY 10804
NEW ROCHELLE, NY 10804
View By:
10/25/2021
Customer Dispute
Denied
State Registrations
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California 11/16/2023
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New York 10/13/2021
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Connecticut 10/13/2021
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New York 10/13/2021
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Florida 8/31/2022
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North Carolina 8/12/2022
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Georgia 6/12/2024
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Pennsylvania 5/1/2023
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Illinois 5/4/2023
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Texas 5/1/2023
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Massachusetts 3/26/2024
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Texas 5/3/2023
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New Jersey 10/13/2021
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Washington 4/24/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/13/2021
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Registered with this firm since 10/13/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/10/2019 - 10/11/2021 | Yonkers, NY | |
B | 05/21/2019 - 10/11/2021 | Yonkers, NY | |
IA | 09/15/2017 - 04/09/2019 | White Plains, NY | |
B | 09/14/2017 - 04/09/2019 | White Plains, NY | |
IA | 05/29/2015 - 09/27/2017 | OSSINING, NY | |
B | 05/28/2015 - 09/27/2017 | OSSINING, NY | |
IA | 03/05/2008 - 05/19/2015 | MOUNT VERNON, NY | |
B | 02/26/2008 - 05/19/2015 | MOUNT VERNON, NY | |
B | 01/30/2007 - 02/01/2008 | WHITE PLAINS, NY | |
B | 06/11/2003 - 01/22/2007 | UNIONDALE, NY |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.