Individual Firm
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Essam Elia
ESSAM Y ELIA, ESSAM Y. ELIA MR., ESSAM Y. ELIA, SAM ELIA MR.
CRD#: 4645554
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 5200 E. 2ND STREET,
LONG BEACH, CA 90803
LONG BEACH, CA 90803
View By:
8/20/2012
Customer Dispute
Denied
State Registrations
B
Arizona 10/1/2012
B
Missouri 10/1/2012
B
California 10/1/2012
B
Nevada 2/24/2014
IA
California 10/1/2012
B
New Jersey 12/3/2015
B
Colorado 10/1/2012
B
New Mexico 4/11/2017
B
Connecticut 1/23/2019
B
New York 10/1/2012
B
Florida 10/1/2012
B
North Carolina 4/10/2024
B
Georgia 10/16/2013
B
Ohio 10/11/2016
B
Hawaii 3/19/2014
B
Oklahoma 6/14/2024
B
Illinois 5/5/2015
B
Oregon 4/1/2015
B
Indiana 12/4/2013
B
Texas 10/1/2012
B
Kansas 10/31/2024
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Texas 9/20/2013
B
Maine 12/18/2013
B
Virginia 2/10/2025
B
Maryland 6/28/2022
B
Washington 10/1/2012
B
Massachusetts 3/6/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/02/2009 - 10/01/2012 | LONG BEACH, CA | |
B | 05/02/2009 - 10/01/2012 | LONG BEACH, CA | |
IA | 07/20/2007 - 05/02/2009 | LONG BEACH, CA | |
B | 06/25/2003 - 05/02/2009 | LONG BEACH, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.