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THOMAS LEE STALEY
TOM STALEY
CRD#: 5148647
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 250 W 161ST STREET
WESTFIELD, IN 46074
Registration History
200620082010201220142016201820202022202420262 FIRMS2015 - Present (10 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2006 - 2015 (8 years)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2012 - 2015 (3 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2009 - 2011 (2 years)
License(s)

State Registrations

B
Arizona 9/30/2015

B
New Hampshire 5/26/2016

B
Arkansas 9/30/2015

B
New Jersey 2/18/2015

B
California 2/18/2015

B
New Mexico 9/26/2019

B
Colorado 4/2/2015

B
New York 5/26/2016

B
Connecticut 4/11/2018

B
North Carolina 2/6/2015

B
Florida 2/5/2015

B
Ohio 2/5/2015

B
Georgia 9/30/2015

B
Oregon 7/19/2019

B
Idaho 2/5/2015

B
Pennsylvania 12/14/2020

B
Illinois 9/30/2015

B
Tennessee 2/6/2015

B
Indiana 1/20/2015

B
Texas 1/20/2015

IA
Indiana 1/20/2015

IA
Texas 1/23/2015

B
Iowa 9/25/2018

B
Utah 9/30/2015

B
Kentucky 7/19/2022

B
Vermont 2/13/2024

B
Massachusetts 6/12/2020

B
Virginia 2/5/2015

B
Michigan 2/5/2015

B
Washington 1/27/2021

B
Minnesota 2/5/2015

B
Wisconsin 4/11/2018

B
Missouri 7/12/2017

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

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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)
250 W 161ST STREET, WESTFIELD, IN 46074
Registered with this firm since 1/20/2015

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
250 W 161ST STREET, WESTFIELD, IN 46074
Registered with this firm since 1/20/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2012 - 02/04/2015 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) INDIANAPOLIS, IN
B
06/19/2006 - 02/04/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
IA
08/17/2009 - 12/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
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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.