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Detailed Report
Shifali Shetty
SHIFALI V KUMAR, SHIFALI K SHETTY, SHIFALI KUMAR SHETTY, SHIFALI V SHETTY, SHIFALI SHETTY
CRD#: 4537801
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 10411 Westheimer Rd Bldg E
HOUSTON, TX 77042
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2010 (8 years)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alaska 2/6/2019
B
North Carolina 7/25/2016
B
Arizona 5/24/2023
B
Oklahoma 10/24/2019
B
California 10/19/2018
B
Pennsylvania 7/19/2021
B
Connecticut 11/17/2021
B
South Carolina 8/29/2018
B
Florida 12/19/2017
B
Tennessee 1/17/2018
B
Georgia 5/19/2021
B
Texas 7/25/2016
B
Louisiana 1/4/2018
IA
Texas 7/25/2016
B
Maryland 4/26/2018
B
Virgin Islands 7/28/2020
B
Massachusetts 6/30/2022
B
Washington 11/17/2024
B
New Jersey 9/26/2016

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)
10411 Westheimer Rd Bldg E, HOUSTON, TX 77042
Registered with this firm since 7/25/2016
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
10411 Westheimer Rd Bldg E, HOUSTON, TX 77042
Registered with this firm since 7/25/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/09/2012 - 07/27/2016 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) HOUSTON, TX
B
 07/09/2012 - 07/27/2016 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) HOUSTON, TX
IA
 06/12/2012 - 07/02/2012 PRIMERICA ADVISORS (CRD#:10111) HURST, TX
B
 06/18/2012 - 07/02/2012 PFS INVESTMENTS INC. (CRD#:10111) HURST, TX
IA
 07/22/2002 - 07/13/2010 AXA ADVISORS, LLC (CRD#:6627) FORT WORTH, TX
B
 07/19/2002 - 07/13/2010 AXA ADVISORS, LLC (CRD#:6627) FORT WORTH, 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.