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Detailed Report
CHARLES JOSEPH WICK II
CHARLES WICK II, CHARLES JOSEPH WICK II, Charles J WICK II
CRD#: 4960929
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 288 Franklin Rd
Brentwood, TN 37027
Registration History
200620082010201220142016201820202022202420263 FIRMS2005 - 2006 (<1 year)2 FIRMS2018 - 2021 (2 years)2 FIRMS2021 - Present (3 years)BSCOTTRADE, INC. (CRD# 8206)2008 - 2018 (9 years)BE*TRADE SECURITIES LLC (CRD# 29106)2006 - 2008 (1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2020 (2 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Arizona 8/8/2023
B
Ohio 5/3/2023
B
District of Columbia 1/26/2025
B
South Carolina 4/17/2024
B
Florida 7/13/2022
B
Tennessee 6/8/2021
B
Georgia 8/23/2022
IA
Tennessee 6/15/2021
B
Idaho 5/20/2024
B
Texas 6/8/2021
B
Illinois 8/23/2022
IA
Texas 6/8/2021
B
Kentucky 7/27/2021
B
Virginia 8/21/2024
B
Louisiana 11/19/2024
B
Washington 8/23/2022
B
Nevada 7/23/2024
B
West Virginia 8/27/2021
B
North Carolina 10/1/2021
B
Wisconsin 8/26/2022

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)
288 Franklin Rd, Brentwood, TN 37027
401 S Mount Juliet Rd Ste 125, Mount Juliet, TN 37122
Registered with this firm since 6/8/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
288 Franklin Rd, Brentwood, TN 37027
401 S Mount Juliet Rd Ste 125, Mount Juliet, TN 37122
Registered with this firm since 6/8/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
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 03/05/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Nashville, TN
B
 02/26/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Nashville, TN
IA
 02/26/2018 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) HENDERSONVILLE, TN
IA
 04/19/2017 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 04/04/2008 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) MT. JULIET, TN
B
 08/24/2006 - 03/31/2008 E*TRADE SECURITIES LLC (CRD#:29106) TAMPA, FL
IA
 09/07/2005 - 06/26/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TAMPA, FL
B
 08/18/2005 - 06/26/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TAMPA, FL
B
 08/18/2005 - 06/26/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.