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Detailed Report
Daniel J. Bubbico
Dan J Bubbico, Daniel James Bubbico
CRD#: 4385312
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 128 Herlong Ave S
Ste 103
Rock Hill, SC 29732
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2023 - 2024 (<1 year)2 FIRMS2005 - 2006 (1 year)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2020 (6 years)2 FIRMS2020 - 2021 (<1 year)2 FIRMS2021 - 2023 (2 years)2 FIRMS2024 - 2025 (<1 year)2 FIRMS2025 - Present (<1 year)BOPUS TRADING FUND LLC (CRD# 125204)2007 - 2008 (<1 year)BGILFORD SECURITIES INCORPORATED (CRD# 8076)2003 - 2003 (<1 year)BGENESIS DAY TRADE, LLC (CRD# 46992)2001 - 2002 (<1 year)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)2001 - 2001 (<1 year)
License(s)

State Registrations

B
North Carolina 1/15/2025
B
Texas 1/15/2025
B
South Carolina 1/15/2025
IA
Texas 1/15/2025
IA
South Carolina 1/15/2025

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)
128 Herlong Ave S Ste 103, Rock Hill, SC 29732
Registered with this firm since 1/15/2025
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
128 Herlong Ave S Ste 103, Rock Hill, SC 29732
Registered with this firm since 1/15/2025
Previous Registration(s)
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IA
 05/15/2024 - 01/21/2025 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
B
 05/15/2024 - 01/21/2025 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
IA
 09/19/2023 - 01/25/2024 FOUNDATIONS INVESTMENT ADVISORS LLC (CRD#:175083) Charlotte, NC
IA
 09/12/2023 - 01/23/2024 ALLOY INVESTMENT MANAGEMENT (CRD#:306227) GREENVILLE, SC
IA
 02/17/2021 - 08/23/2023 TRUIST ADVISORY SERVICES, INC. (CRD#:283390) CHARLOTTE, NC
B
 02/17/2021 - 08/23/2023 TRUIST INVESTMENT SERVICES, INC. (CRD#:17499) CHARLOTTE, NC
IA
 06/17/2020 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
B
 06/17/2020 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
IA
 01/08/2014 - 06/16/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BELMONT, NC
B
 01/08/2014 - 06/16/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BELMONT, NC
IA
 07/02/2013 - 01/02/2014 METLIFE SECURITIES INC. (CRD#:14251) SHELTON, CT
B
 04/08/2013 - 01/02/2014 METLIFE SECURITIES INC. (CRD#:14251) SHELTON, CT
B
 10/08/2007 - 01/07/2008 OPUS TRADING FUND LLC (CRD#:125204) JERICHO, NY
B
 09/28/2005 - 09/20/2006 METLIFE SECURITIES INC. (CRD#:14251) ELMSFORD, NY
B
 09/28/2005 - 09/20/2006 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) ELMSFORD, NY
B
 08/08/2003 - 09/29/2003 GILFORD SECURITIES INCORPORATED (CRD#:8076) NEW YORK, NY
B
 12/04/2001 - 02/14/2002 GENESIS DAY TRADE, LLC (CRD#:46992)
FINRA expelled the firm on 05/21/2012
NEW YORK, NY
B
 05/15/2001 - 08/20/2001 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) SYOSSET, NY
For additional information about investment advisers or broker-dealers, please visit
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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.