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Detailed Report
Steven Roy
STEVEN NOLAN ROY, Steve Roy
CRD#: 4355024
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1575 S Five Mile Rd
BOISE, ID 83709
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2010 - 2010 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2009 (3 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2004 - 2005 (1 year)BEDWARD JONES (CRD# 250)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Arizona 1/18/2017
B
Montana 10/1/2012
B
California 9/17/2013
B
Nevada 11/6/2013
B
Colorado 11/20/2019
B
North Carolina 5/16/2016
B
Delaware 11/16/2023
B
Oregon 6/16/2016
B
Florida 5/9/2022
IA
Oregon 2/16/2017
B
Georgia 5/21/2024
B
South Carolina 8/14/2024
B
Hawaii 1/4/2016
B
Tennessee 10/1/2012
B
Idaho 10/1/2012
B
Texas 6/29/2022
IA
Idaho 10/1/2012
IA
Texas 8/1/2022
B
Louisiana 10/8/2015
B
Utah 10/27/2020
B
Maryland 1/20/2017
B
Washington 1/26/2017
B
Michigan 10/1/2012
B
Wyoming 9/30/2015
B
Missouri 9/17/2021

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)
1575 S Five Mile Rd, BOISE, ID 83709
1850 EAST FAIRVIEW AVENUE, MERIDIAN, ID 83642
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1575 S Five Mile Rd, BOISE, ID 83709
1850 EAST FAIRVIEW AVENUE, MERIDIAN, ID 83642
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/31/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BOISE, ID
B
 03/15/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BOISE, ID
B
 04/08/2010 - 11/17/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) IRON RIVER, MI
B
 07/06/2005 - 03/12/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BLOOMFIELD HILLS, MI
B
 06/30/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 07/23/2003 - 10/29/2003 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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.