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Detailed Report
DANIEL AARON LAMPE
DANIEL LAMPE
CRD#: 5170609
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1301 CANYON BLVD.
BOULDER, CO 80302
Registration History
200620082010201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2006 - 2012 (5 years)
License(s)

State Registrations

B
Alabama 10/20/2022
B
Missouri 11/14/2023
B
Alaska 8/26/2021
B
Montana 10/31/2022
B
Arizona 3/10/2020
B
Nevada 5/24/2021
B
California 12/11/2018
B
New Mexico 10/30/2020
B
Colorado 12/11/2018
B
New York 4/23/2024
IA
Colorado 12/11/2018
B
North Carolina 3/10/2020
B
Connecticut 12/17/2019
B
Ohio 10/3/2022
B
Florida 7/1/2020
B
Oregon 3/8/2021
B
Illinois 7/15/2020
B
Texas 7/17/2019
B
Maine 3/2/2022
IA
Texas 7/24/2019
B
Massachusetts 11/2/2021
B
Virginia 7/17/2019

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)
1301 CANYON BLVD., BOULDER, CO 80302
Registered with this firm since 12/11/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1301 CANYON BLVD., BOULDER, CO 80302
Registered with this firm since 12/11/2018
Previous Registration(s)
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IA
 04/03/2017 - 12/11/2018 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) THORNTON, CO
B
 04/03/2017 - 12/11/2018 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) THORNTON, CO
IA
 01/08/2013 - 11/25/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAKEWOOD, CO
B
 01/07/2013 - 11/25/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAKEWOOD, CO
B
 11/28/2006 - 05/31/2012 SAGEPOINT FINANCIAL, INC. (CRD#:133763) HOUSTON, TX
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.