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Detailed Report
THOMAS FLOOD
CRD#: 4678613
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1480 FOREST AVENUE
STATEN ISLAND, NY 10302
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2008 - 2012 (4 years)BMETLIFE SECURITIES INC. (CRD# 14251)2005 - 2008 (2 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2005 - 2007 (2 years)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)2003 - 2004 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)
License(s)

State Registrations

B
Arizona 1/27/2017
IA
New Jersey 10/1/2012
B
California 4/15/2014
B
New York 10/1/2012
B
Colorado 9/6/2019
IA
New York 5/3/2021
B
Connecticut 10/1/2012
B
North Carolina 3/8/2019
B
Delaware 11/17/2015
B
Ohio 11/15/2013
B
Florida 10/1/2012
B
Pennsylvania 10/1/2012
B
Georgia 9/16/2015
B
Rhode Island 10/11/2023
B
Kentucky 3/17/2014
B
Tennessee 7/8/2022
B
Maryland 12/1/2023
B
Texas 2/15/2019
B
Massachusetts 10/11/2019
IA
Texas 2/19/2019
B
Nevada 7/28/2020
B
Virginia 6/13/2022
B
New Jersey 10/1/2012
B
Washington 12/21/2023

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)
1480 FOREST AVENUE, STATEN ISLAND, NY 10302
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1480 FOREST AVENUE, STATEN ISLAND, NY 10302
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/29/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) STATEN ISLAND, NY
B
 03/24/2008 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) STATEN ISLAND, NY
B
 03/21/2005 - 02/01/2008 METLIFE SECURITIES INC. (CRD#:14251) BROOKLYN, NY
B
 03/21/2005 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) BROOKLYN, NY
B
 10/07/2003 - 07/27/2004 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) 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.