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Detailed Report
JOSEPH MICHAEL ESTRADA
JOSEPH M ESTRADA
CRD#: 5122929
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2029 Century Park E
Floor 39
Los Angeles, CA 90067
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2011 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - Present (12 years)BAXA ADVISORS, LLC (CRD# 6627)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 6/5/2018
B
Montana 6/5/2018
B
Alaska 6/5/2018
B
Nebraska 6/5/2018
B
Arizona 7/23/2012
B
Nevada 6/5/2018
B
Arkansas 6/5/2018
B
New Hampshire 6/5/2018
B
California 6/5/2018
B
New Jersey 6/5/2018
IA
California 10/6/2023
B
New Mexico 6/5/2018
B
Colorado 6/5/2018
B
New York 7/23/2012
B
Connecticut 6/5/2018
B
North Carolina 6/5/2018
B
Delaware 6/5/2018
B
North Dakota 6/5/2018
B
District of Columbia 6/5/2018
B
Ohio 6/5/2018
B
Florida 6/5/2018
B
Oklahoma 6/5/2018
B
Georgia 6/5/2018
B
Oregon 6/5/2018
B
Hawaii 6/5/2018
B
Pennsylvania 6/5/2018
B
Idaho 6/5/2018
B
Puerto Rico 6/5/2018
B
Illinois 6/5/2018
B
Rhode Island 6/5/2018
B
Indiana 6/5/2018
B
South Carolina 6/5/2018
B
Iowa 6/5/2018
B
South Dakota 6/5/2018
B
Kansas 6/5/2018
B
Tennessee 6/5/2018
B
Kentucky 6/5/2018
B
Texas 6/5/2018
B
Louisiana 6/5/2018
B
Utah 6/5/2018
B
Maine 6/5/2018
B
Vermont 6/5/2018
B
Maryland 6/5/2018
B
Virgin Islands 6/5/2018
B
Massachusetts 6/5/2018
B
Virginia 6/5/2018
B
Michigan 6/5/2018
B
Washington 6/5/2018
B
Minnesota 6/5/2018
B
West Virginia 6/5/2018
B
Mississippi 6/5/2018
B
Wisconsin 6/5/2018
B
Missouri 6/5/2018
B
Wyoming 6/5/2018

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)
2029 Century Park E Floor 39, Los Angeles, CA 90067
Registered with this firm since 10/6/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2029 Century Park E Floor 39, Los Angeles, CA 90067
Registered with this firm since 7/23/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2011 - 09/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) PHOENIX, AZ
B
 01/03/2011 - 09/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) PHOENIX, AZ
IA
 03/17/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PHOENIX, AZ
B
 03/24/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PHOENIX, AZ
IA
 03/21/2007 - 11/13/2008 AXA ADVISORS, LLC (CRD#:6627) TUCSON, AZ
B
 03/09/2007 - 11/13/2008 AXA ADVISORS, LLC (CRD#:6627) TUCSON, AZ
B
 09/29/2006 - 11/14/2006 AXA ADVISORS, LLC (CRD#:6627) TUCSON, AZ
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.