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Mitchell Wallace
MITCHELL LEROY WALLACE, MITCHELL WALLACE
CRD#: 5043040
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1235 CHORRO STREET
SAN LUIS OBISPO, CA 93401
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BWAMU INVESTMENTS, INC. (CRD# 599)2005 - 2009 (3 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2008 - 2009 (1 year)
Disclosure(s)
View By:
9/29/2007
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 9/11/2024

B
Michigan 3/20/2013

B
Arizona 10/1/2012

B
Mississippi 10/17/2022

B
California 10/1/2012

B
Missouri 1/5/2018

IA
California 10/1/2012

B
Nevada 1/28/2016

B
Colorado 4/5/2016

B
New Mexico 7/5/2024

B
Florida 7/1/2015

IA
New Mexico 7/8/2024

B
Hawaii 10/1/2012

B
Oklahoma 6/18/2021

B
Idaho 10/1/2012

B
Texas 10/1/2012

B
Illinois 9/2/2021

IA
Texas 9/13/2013

B
Indiana 5/13/2020

B
Utah 9/14/2018

B
Massachusetts 5/15/2014

B
Washington 10/1/2012

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)
1235 CHORRO STREET, SAN LUIS OBISPO, CA 93401
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1235 CHORRO STREET, SAN LUIS OBISPO, CA 93401
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN LUIS OBISPO, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN LUIS OBISPO, CA
IA
05/07/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) SAN LUIS OBISPO, CA
B
11/04/2005 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) SAN LUIS OBISPO, CA
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B
Broker
IA
Investment Adviser
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.