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Detailed Report
EVAN A SCHOTTENSTEIN
CRD#: 4929175
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2010201220142016201820202022IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2019 (5 years)IAMORGAN STANLEY (CRD# 149777)2010 - 2014 (3 years)
Disclosure(s)
View By:
9/22/2022
Regulatory
Final
4/7/2021
Regulatory
Final
7/25/2019
Customer Dispute
Award / Judgment
6/27/2019
Employment Separation After Allegations
1/10/2019
Customer Dispute
Withdrawn
5/20/2011
Customer Dispute
Denied
11/12/2009
Customer Dispute
Denied
Previous Registration(s)
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 03/10/2014 - 07/23/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) NEW YORK, NY
IA
 08/11/2010 - 03/25/2014 MORGAN STANLEY (CRD#:149777) 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.