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Detailed Report
FRANK DAVID METZKE
FRANK DAVID METZKE I, FRANK METZKE
CRD#: 4229150
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 349 5TH AVENUE
NEW YORK, NY 10016
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2008 - 2012 (3 years)BTALLEY & COMPANY (CRD# 29203)2008 - 2008 (<1 year)BMAXIM GROUP LLC (CRD# 120708)2003 - 2008 (4 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2002 - 2003 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)
License(s)

State Registrations

B
Alabama 10/1/2012
B
New Jersey 10/1/2012
B
California 10/1/2012
IA
New Jersey 10/1/2012
B
Colorado 2/19/2020
B
New York 10/1/2012
B
Connecticut 10/1/2012
IA
New York 5/3/2021
B
Delaware 5/12/2016
B
North Carolina 10/1/2012
B
Florida 10/1/2012
B
Ohio 3/7/2016
B
Georgia 10/1/2012
B
Oklahoma 1/16/2024
B
Hawaii 10/13/2014
B
Oregon 1/8/2018
B
Illinois 6/3/2014
B
Pennsylvania 10/1/2012
B
Indiana 11/5/2018
B
South Carolina 9/16/2019
B
Maryland 4/9/2018
B
Tennessee 5/12/2016
B
Massachusetts 10/1/2012
B
Texas 6/28/2017
B
Michigan 11/4/2022
IA
Texas 7/6/2017
B
Minnesota 2/8/2013
B
Vermont 10/1/2012
B
Nevada 6/18/2018
B
Virginia 2/3/2015
B
New Hampshire 2/4/2025
B
Washington 5/12/2016

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)
349 5TH AVENUE, NEW YORK, NY 10016
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
349 5TH AVENUE, NEW YORK, NY 10016
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
 12/19/2008 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
 06/18/2008 - 12/10/2008 TALLEY & COMPANY (CRD#:29203) NEWPORT BEACH, CA
B
 10/13/2003 - 06/10/2008 MAXIM GROUP LLC (CRD#:120708) NEW YORK, NY
B
 05/21/2002 - 04/28/2003 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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.