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Detailed Report
Tracy Riordan
TRACY BARBARA DENEAU, TRACY BARBARA RIORDAN
CRD#: 4274722
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 4300 E Camelback Rd Suite #400, Floor 04
Phoenix, AZ 85018-2719
Registration History
20002002200420062008201020122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2010 - Present (14 years)BWELLS FARGO SECURITIES, LLC (CRD# 126292)2009 - 2010 (<1 year)BWELLS FARGO BROKERAGE SERVICES... (CRD# 16100)2004 - 2009 (4 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2004 (3 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)2000 - 2001 (<1 year)
License(s)

State Registrations

B
Alabama 5/12/2010
B
Nebraska 5/12/2010
B
Alaska 5/12/2010
B
Nevada 5/12/2010
B
Arizona 5/12/2010
B
New Hampshire 5/12/2010
IA
Arizona 2/22/2023
B
New Jersey 5/12/2010
B
Arkansas 5/12/2010
B
New Mexico 5/12/2010
B
California 5/12/2010
B
New York 5/12/2010
B
Colorado 5/12/2010
B
North Carolina 5/17/2010
B
Connecticut 5/12/2010
B
North Dakota 5/12/2010
B
Delaware 5/12/2010
B
Ohio 5/12/2010
B
District of Columbia 5/12/2010
B
Oklahoma 5/12/2010
B
Florida 5/12/2010
B
Oregon 5/12/2010
B
Georgia 5/12/2010
B
Pennsylvania 5/12/2010
B
Hawaii 5/12/2010
B
Puerto Rico 5/12/2010
B
Idaho 5/12/2010
B
Rhode Island 5/12/2010
B
Illinois 5/12/2010
B
South Carolina 5/12/2010
B
Indiana 5/12/2010
B
South Dakota 5/12/2010
B
Iowa 5/12/2010
B
Tennessee 5/12/2010
B
Kansas 5/12/2010
B
Texas 5/12/2010
B
Kentucky 5/12/2010
IA
Texas 2/17/2023
B
Louisiana 5/12/2010
B
Utah 5/12/2010
B
Maine 5/12/2010
B
Vermont 5/12/2010
B
Maryland 5/12/2010
B
Virgin Islands 5/12/2010
B
Massachusetts 5/12/2010
B
Virginia 5/12/2010
B
Michigan 5/12/2010
B
Washington 5/12/2010
B
Minnesota 5/12/2010
B
West Virginia 5/12/2010
B
Mississippi 5/12/2010
B
Wisconsin 5/12/2010
B
Missouri 5/12/2010
B
Wyoming 5/12/2010
B
Montana 5/12/2010

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)
4300 E Camelback Rd Suite #400, Floor 04, Phoenix, AZ 85018-2719
Registered with this firm since 2/17/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
4300 E Camelback Rd Suite #400, Floor 04, Phoenix, AZ 85018-2719
Registered with this firm since 5/12/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/06/2009 - 05/07/2010 WELLS FARGO SECURITIES, LLC (CRD#:126292) PHOENIX, AZ
B
 12/17/2004 - 11/06/2009 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) PHOENIX, AZ
B
 05/02/2001 - 12/17/2004 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 09/29/2000 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
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.