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PHILLIP EARL FLORES
CRD#: 5342183
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 1320 WEST DAVIS ST
CONROE, TX 77304
CONROE, TX 77304
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Disclosures
17
Years of Experience
View By:
State Registrations
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Arizona 2/11/2016
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Michigan 8/10/2018
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Arkansas 10/21/2015
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Mississippi 4/9/2021
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California 2/11/2016
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Missouri 4/11/2022
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Colorado 6/30/2022
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Ohio 2/11/2016
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Florida 3/3/2015
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Oregon 12/12/2023
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Georgia 9/25/2019
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Puerto Rico 9/11/2020
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Illinois 2/11/2016
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South Carolina 6/7/2019
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Indiana 10/24/2017
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Texas 10/1/2012
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Louisiana 12/5/2014
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Texas 10/1/2012
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Maryland 9/24/2020
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Washington 6/4/2018
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/27/2011 - 10/01/2012 | HOUSTON, TX | |
B | 09/27/2011 - 10/01/2012 | HOUSTON, TX | |
B | 05/05/2011 - 08/26/2011 | HOUSTON, TX | |
B | 12/17/2010 - 05/23/2011 | HOUSTON, TX | |
IA | 07/23/2007 - 12/22/2010 | THE WOODLANDS, TX | |
B | 07/05/2007 - 12/22/2010 | THE WOODLANDS, TX |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.