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Shane Irvine
SHANE T IRVINE
CRD#: 5117736
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 17073 W. BELL ROAD
SURPRISE, AZ 85374
SURPRISE, AZ 85374
View By:
4/3/2018
Customer Dispute
Settled
State Registrations
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Alabama 1/16/2013
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Montana 11/24/2014
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Alaska 12/17/2013
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Nevada 7/24/2015
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Arizona 10/1/2012
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New Jersey 8/21/2020
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Arizona 10/1/2012
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New Mexico 3/30/2016
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California 10/1/2012
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New York 7/29/2016
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Colorado 5/29/2014
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North Carolina 8/23/2022
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Connecticut 5/14/2015
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Ohio 1/15/2020
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Delaware 5/16/2018
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Oklahoma 1/16/2013
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Florida 12/15/2014
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Oregon 1/16/2013
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Hawaii 1/29/2021
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Pennsylvania 7/8/2021
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Idaho 10/1/2012
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Rhode Island 10/7/2013
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Illinois 12/14/2017
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South Dakota 1/22/2015
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Indiana 10/20/2017
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Tennessee 1/14/2022
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Louisiana 4/17/2023
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Texas 2/23/2015
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Maine 9/8/2017
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Texas 2/24/2015
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Maryland 8/8/2019
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Utah 4/26/2019
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Massachusetts 6/12/2023
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Virginia 9/20/2016
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Michigan 10/1/2012
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Washington 10/1/2012
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Minnesota 5/10/2023
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Wisconsin 3/8/2013
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Mississippi 12/1/2021
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Wyoming 3/10/2014
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Missouri 6/8/2015
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/2012 - 10/01/2012 | SURPRISE, AZ | |
B | 03/09/2007 - 10/01/2012 | SURPRISE, AZ | |
B | 05/23/2006 - 11/21/2006 | AVONDALE, AZ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.