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Detailed Report
Keith M. Fiala
KEITH MATTHEW FIALA, KEITH FIALA, Keith M Faila, Keith M Fiala
CRD#: 4639367
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 292 PEQUOT AVENUE
SOUTHPORT, CT 06890
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2010 (5 years)2 FIRMS2010 - 2013 (3 years)2 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2003 - 2004 (1 year)
License(s)

State Registrations

B
Connecticut 3/28/2023
B
New Jersey 3/28/2023
IA
Connecticut 3/28/2023
B
New York 3/28/2023
B
Florida 3/31/2023
B
North Carolina 4/14/2023
B
Maryland 3/31/2023
B
South Dakota 1/3/2024
B
Massachusetts 7/13/2023
B
Texas 3/28/2023
B
Michigan 1/13/2025
IA
Texas 3/28/2023

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)
292 PEQUOT AVENUE, SOUTHPORT, CT 06890
Registered with this firm since 3/28/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
292 PEQUOT AVENUE, SOUTHPORT, CT 06890
Registered with this firm since 3/28/2023
Previous Registration(s)
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IA
 03/09/2020 - 04/10/2023 LPL FINANCIAL LLC (CRD#:6413) RIDGEFIELD, CT
B
 03/09/2020 - 04/10/2023 LPL FINANCIAL LLC (CRD#:6413) RIDGEFIELD, CT
B
 05/02/2019 - 12/18/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) MILLDALE, CT
IA
 05/02/2019 - 12/02/2019 CWM, LLC (CRD#:155344) Milldale, CT
IA
 06/19/2015 - 05/16/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) RIDGEFIELD, CT
B
 06/19/2015 - 05/16/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) RIDGEFIELD, CT
IA
 07/03/2013 - 06/11/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEW CANAAN, CT
B
 07/03/2013 - 06/11/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEW CANAAN, CT
IA
 02/01/2010 - 06/18/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DARIEN, CT
B
 02/01/2010 - 06/18/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DARIEN, CT
IA
 08/19/2004 - 02/11/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) STAMFORD, CT
B
 07/20/2004 - 02/11/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) STAMFORD, CT
B
 05/02/2003 - 07/08/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, 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.