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CHAD MICHAEL MARKHAM
CRD#: 4783044
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 4660 EAST SUNRISE DRIVE
TUCSON, AZ 85718
TUCSON, AZ 85718
View By:
2/22/2010
Customer Dispute
Settled
State Registrations
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Alabama 10/1/2012
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Missouri 10/1/2012
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Arizona 10/1/2012
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New Mexico 10/1/2012
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Arizona 10/1/2012
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New York 10/1/2012
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California 10/1/2012
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North Carolina 10/1/2012
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California 4/1/2015
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Ohio 10/1/2012
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Colorado 10/1/2012
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Oklahoma 8/17/2015
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Delaware 10/1/2012
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Oregon 11/24/2015
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District of Columbia 5/29/2024
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Pennsylvania 12/15/2014
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Florida 10/1/2012
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Pennsylvania 5/16/2022
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Illinois 10/1/2012
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Rhode Island 10/1/2012
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Indiana 10/1/2012
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South Dakota 10/1/2012
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Iowa 10/23/2017
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Tennessee 3/13/2015
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Kentucky 8/19/2014
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Texas 10/1/2012
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Maine 10/1/2012
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Texas 9/20/2013
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Maryland 10/1/2012
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Virginia 10/1/2012
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Massachusetts 4/30/2018
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Washington 10/1/2012
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Michigan 10/1/2012
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Wisconsin 9/27/2013
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Minnesota 10/1/2012
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 | 08/25/2008 - 10/01/2012 | TUCSON, AZ | |
B | 08/25/2008 - 10/01/2012 | TUCSON, AZ | |
IA | 12/15/2006 - 08/08/2007 | TUCSON, AZ | |
B | 12/07/2006 - 08/08/2007 | TUCSON, AZ | |
B | 07/16/2004 - 11/17/2006 | TUCSON, AZ | |
B | 07/16/2004 - 11/17/2006 | TUCSON, AZ |
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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.