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Detailed Report
Brad Dutton
BRAD RICHARD DUTTON
CRD#: 5261804
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1320 WEST DAVIS ST
CONROE, TX 77304
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2010 (3 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - Present (11 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2010 - Present (14 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2010 - 2012 (1 year)
License(s)

State Registrations

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Alabama 1/14/2023
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Nebraska 1/14/2023
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Alaska 1/14/2023
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Nevada 12/10/2013
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Arizona 6/7/2013
B
New Hampshire 10/21/2021
B
Arkansas 12/10/2013
B
New Jersey 2/16/2022
B
California 6/7/2013
B
New Mexico 2/10/2016
B
Colorado 12/10/2013
B
New York 8/6/2010
B
Connecticut 6/7/2013
B
North Carolina 10/30/2020
B
Delaware 1/14/2023
B
North Dakota 1/14/2023
B
District of Columbia 1/10/2023
B
Ohio 11/12/2015
B
Florida 6/7/2013
B
Oklahoma 6/7/2013
B
Georgia 6/20/2013
B
Oregon 1/14/2023
B
Hawaii 1/14/2023
B
Pennsylvania 2/16/2022
B
Idaho 12/13/2021
B
Puerto Rico 9/11/2020
B
Illinois 10/3/2014
B
Rhode Island 1/14/2023
B
Indiana 8/5/2019
B
South Carolina 2/3/2015
B
Iowa 1/14/2023
B
South Dakota 1/14/2023
B
Kansas 6/7/2013
B
Tennessee 12/9/2013
B
Kentucky 12/6/2018
B
Texas 8/6/2010
B
Louisiana 6/7/2013
IA
Texas 6/3/2013
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Maine 1/14/2023
B
Utah 2/16/2022
B
Maryland 9/24/2020
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Vermont 1/14/2023
B
Massachusetts 2/16/2022
B
Virgin Islands 1/14/2023
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Michigan 6/7/2013
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Virginia 10/30/2020
B
Minnesota 1/14/2023
B
Washington 10/12/2015
B
Mississippi 6/7/2013
B
West Virginia 1/14/2023
B
Missouri 6/7/2013
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Wisconsin 5/19/2015
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Montana 1/14/2023
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Wyoming 1/14/2023

SRO Registrations

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 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)
1320 WEST DAVIS ST, CONROE, TX 77304
4755 WEST PANTHER CREEK DRIVE, THE WOODLANDS, TX 77381
Registered with this firm since 6/3/2013
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1320 WEST DAVIS ST, CONROE, TX 77304
4755 WEST PANTHER CREEK DRIVE, THE WOODLANDS, TX 77381
Registered with this firm since 8/6/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
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 08/06/2010 - 05/15/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) THE WOODLANDS, TX
IA
 06/07/2007 - 08/10/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
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 06/07/2007 - 08/10/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
IA
 04/04/2007 - 04/30/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) THE WOODLANDS, TX
B
 03/12/2007 - 04/30/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) THE WOODLANDS, 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.