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Detailed Report
Claudio F. Robertson
CLAUDIO F ROBERTSON, CLAUDIO FRANCISCO ROBERTSON
CRD#: 4883174
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 12860 El Camino Real
Floor 02
San Diego, CA 92130
Registration History
20082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BINVESTMENT PLACEMENT GROUP (CRD# 14458)2009 - 2017 (7 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2009 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)2007 - 2008 (<1 year)IAUPRIVER CAPITAL MANAGEMENT, LLC (CRD# 309392)2020 - 2020 (<1 year)IAIPG INVESTMENT ADVISORS, LLC (CRD# 152990)2012 - 2017 (5 years)
License(s)

State Registrations

B
Alabama 9/14/2021
B
Nebraska 9/14/2021
B
Alaska 9/14/2021
B
Nevada 9/14/2021
B
Arizona 10/7/2021
B
New Hampshire 9/14/2021
B
Arkansas 9/14/2021
B
New Jersey 9/14/2021
IA
California 8/13/2021
B
New Mexico 9/14/2021
B
California 9/14/2021
B
New York 9/14/2021
B
Colorado 9/2/2021
B
North Carolina 9/14/2021
B
Connecticut 9/7/2021
B
North Dakota 9/14/2021
B
Delaware 9/14/2021
B
Ohio 9/3/2021
B
District of Columbia 9/2/2021
B
Oklahoma 9/14/2021
B
Florida 9/2/2021
B
Oregon 9/14/2021
B
Georgia 9/14/2021
B
Pennsylvania 9/14/2021
B
Hawaii 9/14/2021
B
Puerto Rico 9/2/2021
B
Idaho 9/7/2021
B
Rhode Island 9/14/2021
B
Illinois 9/14/2021
B
South Carolina 9/14/2021
B
Indiana 9/14/2021
B
South Dakota 9/14/2021
B
Iowa 9/14/2021
B
Tennessee 9/14/2021
B
Kansas 9/14/2021
B
Texas 9/14/2021
B
Kentucky 9/14/2021
IA
Texas 11/21/2022
B
Louisiana 9/2/2021
B
Utah 9/14/2021
B
Maine 9/14/2021
B
Vermont 9/14/2021
B
Maryland 9/2/2021
B
Virgin Islands 9/14/2021
B
Massachusetts 9/14/2021
B
Virginia 9/14/2021
B
Michigan 9/14/2021
B
Washington 9/14/2021
B
Minnesota 9/14/2021
B
West Virginia 9/14/2021
B
Mississippi 9/14/2021
B
Wisconsin 9/14/2021
B
Missouri 9/14/2021
B
Wyoming 9/14/2021
B
Montana 9/14/2021

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)
12860 El Camino Real Floor 02, San Diego, CA 92130
Registered with this firm since 8/13/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
12860 El Camino Real Floor 02, San Diego, CA 92130
Registered with this firm since 9/2/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/15/2020 - 11/02/2020 UPRIVER CAPITAL MANAGEMENT, LLC (CRD#:309392) La Jolla, CA
IA
 01/03/2012 - 12/01/2017 IPG INVESTMENT ADVISORS, LLC (CRD#:152990) SAN DIEGO, CA
B
 10/01/2009 - 05/26/2017 INVESTMENT PLACEMENT GROUP (CRD#:14458) SAN DIEGO, CA
B
 09/22/2008 - 09/03/2009 BARCLAYS CAPITAL INC. (CRD#:19714) NEW YORK, NY
B
 10/17/2007 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) 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.