Individual Firm
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Joseph Philip Tartaglini Jr.
JOSEPH P TARTAGLINI JR, JOSEPH PHILIP TARTAGLINI JR., JOSEPH PHILIP TARTAGLINI, JOSEPH TARTAGLINI
CRD#: 4963465
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 18300 Wedge Pkwy
Reno, NV 89511
Reno, NV 89511
View By:
3/20/2020
Customer Dispute
Settled
State Registrations
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Arizona 7/16/2018
B
Montana 11/29/2022
B
California 9/15/2017
B
Nevada 8/18/2017
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California 9/21/2017
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Nevada 8/30/2017
B
Colorado 8/11/2020
B
New York 3/5/2024
B
Florida 6/10/2021
B
North Carolina 8/18/2017
B
Hawaii 11/4/2020
B
Pennsylvania 1/11/2023
B
Idaho 10/6/2020
B
Rhode Island 5/3/2024
B
Illinois 6/16/2021
B
Texas 8/18/2017
B
Indiana 9/10/2018
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Texas 8/18/2017
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Maryland 3/21/2025
B
Utah 8/3/2020
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Massachusetts 5/18/2020
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Virginia 4/20/2023
B
Missouri 6/29/2018
B
Washington 10/7/2020
SRO Registrations
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IA
Registered with this firm since 8/18/2017
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Registered with this firm since 8/18/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/27/2012 - 08/23/2017 | RENO, NV | |
B | 03/27/2012 - 08/23/2017 | RENO, NV | |
IA | 05/26/2009 - 03/01/2012 | CITY OF INDUSTRY, CA | |
B | 11/15/2007 - 03/01/2012 | CITY OF INDUSTRY, CA | |
B | 01/05/2006 - 11/29/2007 | CITY OF INDUSTRY, CA | |
B | 06/16/2005 - 01/03/2006 | LOS ANGELES, CA |
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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.
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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.