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Detailed Report
DEBORAH LYNNE CALDWELL
DEBORAH CALDWELL, DEBBIE GRIM
CRD#: 4607719
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 Powell, OH
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2003 (<1 year)2 FIRMS2015 - Present (9 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2011 - 2015 (4 years)BFORESIDE DISTRIBUTION SERVICES... (CRD# 15634)2004 - 2011 (7 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2013 - 2015 (2 years)
License(s)

State Registrations

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Alabama 10/27/2020
B
Nebraska 10/27/2020
B
Alaska 10/27/2020
B
Nevada 10/27/2020
B
Arizona 10/27/2020
B
New Hampshire 10/27/2020
B
Arkansas 10/27/2020
B
New Jersey 10/27/2020
B
California 10/27/2020
B
New Mexico 10/27/2020
B
Colorado 10/27/2020
B
New York 10/27/2020
B
Connecticut 10/27/2020
B
North Carolina 10/15/2015
B
Delaware 10/27/2020
B
North Dakota 10/27/2020
B
District of Columbia 10/27/2020
B
Ohio 4/30/2019
B
Florida 10/27/2020
IA
Ohio 10/27/2020
B
Georgia 10/27/2020
B
Oklahoma 10/27/2020
B
Hawaii 10/27/2020
B
Oregon 10/27/2020
B
Idaho 10/27/2020
B
Pennsylvania 10/27/2020
B
Illinois 10/27/2020
B
Puerto Rico 10/27/2020
B
Indiana 10/27/2020
B
Rhode Island 10/27/2020
B
Iowa 10/27/2020
B
South Carolina 10/27/2020
B
Kansas 10/27/2020
B
South Dakota 10/27/2020
B
Kentucky 10/27/2020
B
Tennessee 10/27/2020
B
Louisiana 10/27/2020
B
Texas 10/14/2015
B
Maine 10/27/2020
B
Utah 10/27/2020
B
Maryland 10/27/2020
B
Vermont 10/27/2020
B
Massachusetts 10/27/2020
B
Virgin Islands 10/27/2020
B
Michigan 10/14/2015
B
Virginia 10/27/2020
IA
Michigan 10/19/2015
B
Washington 10/27/2020
B
Minnesota 10/27/2020
B
West Virginia 4/30/2019
B
Mississippi 10/27/2020
B
Wisconsin 10/27/2020
B
Missouri 10/27/2020
B
Wyoming 10/27/2020
B
Montana 10/27/2020

SRO Registrations

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 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)
Powell, OH
1111 Polaris Pkwy, Columbus, OH 43240
Registered with this firm since 10/19/2015
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
Powell, OH
1111 Polaris Pkwy, Columbus, OH 43240
Registered with this firm since 10/14/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/06/2013 - 10/14/2015 HSBC SECURITIES (USA) INC. (CRD#:19585) New York, NY
B
 07/13/2011 - 10/14/2015 HSBC SECURITIES (USA) INC. (CRD#:19585) New York, NY
B
 01/09/2004 - 07/06/2011 FORESIDE DISTRIBUTION SERVICES, L.P. (CRD#:15634) GAHANNA, OH
IA
 01/27/2003 - 11/19/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) COLUMBUS, OH
B
 01/13/2003 - 11/19/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.