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Detailed Report
George E Frenzel III
GEORGE E FRENZEL III, GEORGE E FRENZEL, GEORGE EDWARD FRENZEL III, GEORGE FRENZEL III, GEORGE FRENZEL
CRD#: 4859240
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 350 MAIN STREET
HUNTINGTON, NY 11743
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2012 (4 years)2 FIRMS2014 - Present (11 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2005 - 2007 (2 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2005 - 2006 (1 year)
License(s)

State Registrations

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California 4/6/2015
IA
New York 11/4/2021
B
Colorado 9/11/2024
B
North Carolina 1/3/2022
B
Connecticut 2/17/2014
B
Rhode Island 1/3/2022
B
Florida 4/6/2015
B
South Carolina 12/10/2024
B
Massachusetts 9/6/2024
B
Tennessee 7/13/2022
B
Michigan 10/17/2024
B
Texas 10/17/2024
B
New Hampshire 4/15/2022
IA
Texas 10/23/2024
IA
New Jersey 2/6/2014
B
Virginia 9/26/2024
B
New Jersey 2/17/2014
B
Washington 9/10/2021
B
New York 2/17/2014

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)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
350 MAIN STREET, HUNTINGTON, NY 11743
Registered with this firm since 2/6/2014
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J.P. MORGAN SECURITIES LLC (CRD#:79)
350 MAIN STREET, HUNTINGTON, NY 11743
Registered with this firm since 2/17/2014
Previous Registration(s)
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 11/20/2007 - 03/27/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HUNTINGTON, NY
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 11/19/2007 - 03/27/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HUNTINGTON, NY
B
 01/12/2005 - 09/10/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) HAUPPAUGE, NY
B
 01/12/2005 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.