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Steven C Underwood
STEVEN CHARLES UNDERWOOD
CRD#: 4533006
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2200 MORTHLAND DRIVE
VALPARAISO, IN 46383
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2012 (7 years)2 FIRMS2012 - Present (12 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2002 - 2005 (3 years)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2005 - 2005 (<1 year)
Disclosure(s)
View By:
12/31/2010
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 8/17/2018

B
Maryland 7/3/2019

B
California 10/22/2021

B
Michigan 10/1/2012

B
Colorado 10/22/2021

B
Minnesota 2/8/2018

B
Connecticut 12/5/2024

B
Ohio 11/7/2017

B
Florida 10/1/2012

B
South Dakota 10/24/2012

B
Georgia 1/30/2019

B
Tennessee 7/11/2016

B
Illinois 10/1/2012

B
Texas 6/13/2016

B
Indiana 10/1/2012

IA
Texas 6/21/2016

IA
Indiana 10/1/2012

B
Wisconsin 4/16/2013

B
Kentucky 10/31/2014

B
Wyoming 12/2/2016

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)
2200 MORTHLAND DRIVE, VALPARAISO, IN 46383
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2200 MORTHLAND DRIVE, VALPARAISO, IN 46383
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) VALPARAISO, IN
B
07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) VALPARAISO, IN
IA
06/30/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) VALPARAISO, IN
B
06/03/2002 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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B
Broker
IA
Investment Adviser
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.