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Detailed Report
MICHAEL SEAN STONE
MICHAEL STONE
CRD#: 5324587
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 712 MAIN STREET
HOUSTON, TX 77002
Registration History
2008201020122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - Present (7 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Arizona 9/12/2023
B
Mississippi 2/12/2020
B
Arkansas 9/18/2023
B
New Mexico 5/31/2022
B
Colorado 12/14/2020
B
New York 10/23/2018
B
District of Columbia 10/24/2018
B
Pennsylvania 4/27/2022
B
Florida 5/8/2023
B
Texas 10/1/2012
B
Louisiana 10/5/2022
IA
Texas 11/7/2017
B
Maryland 1/3/2024
B
Virginia 1/7/2019
B
Massachusetts 6/17/2024
B
Washington 1/14/2021
B
Michigan 4/1/2020
B
Wisconsin 5/12/2017

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 National, Inc.
B
 NYSE Texas, 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)
712 MAIN STREET, HOUSTON, TX 77002
Registered with this firm since 11/7/2017
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
712 MAIN STREET, HOUSTON, TX 77002
Registered with this firm since 10/1/2012
Previous Registration(s)
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B
 04/23/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PEARLAND, TX
B
 08/10/2007 - 09/11/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) ADDISON, 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.