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Detailed Report
ERIC JAY SMITH
CRD#: 5413628
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 578 S. MCCASLIN BLVD.
LOUISVILLE, CO 80027
Registration History
20082010201220142016201820202022202420262 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - Present (5 years)BINVESTORS CAPITAL CORP. (CRD# 30613)2009 - 2012 (2 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2007 - 2009 (1 year)IAINVESTORS CAPITAL ADVISORY (CRD# 30613)2010 - 2012 (2 years)
License(s)

State Registrations

B
Alaska 8/28/2023
B
Minnesota 6/8/2023
B
Arizona 10/25/2019
B
Montana 8/18/2023
B
California 9/7/2019
B
Nebraska 12/16/2024
B
Colorado 8/22/2019
B
New Jersey 1/26/2024
IA
Colorado 8/22/2019
B
Oregon 3/5/2020
B
Connecticut 1/5/2025
B
Pennsylvania 10/2/2024
B
Florida 9/8/2020
B
Rhode Island 4/3/2023
B
Idaho 11/19/2020
B
Texas 5/17/2022
B
Illinois 1/4/2023
IA
Texas 6/23/2022
B
Maryland 10/4/2024
B
Virginia 4/8/2024
B
Massachusetts 9/20/2019
B
Wisconsin 12/15/2020
B
Michigan 4/3/2023
B
Wyoming 9/10/2021

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)
578 S. MCCASLIN BLVD., LOUISVILLE, CO 80027
16820 Sheridan Pkwy, Broomfield, CO 80023
Registered with this firm since 8/22/2019
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
578 S. MCCASLIN BLVD., LOUISVILLE, CO 80027
16820 Sheridan Pkwy, Broomfield, CO 80023
Registered with this firm since 8/22/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/26/2016 - 07/25/2019 ADVICE AND PLANNING SERVICES (CRD#:20472) BOULDER, CO
B
 04/26/2016 - 07/25/2019 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) BOULDER, CO
IA
 06/06/2012 - 04/21/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WORCESTER, MA
B
 06/01/2012 - 04/21/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WORCESTER, MA
IA
 03/26/2010 - 05/18/2012 INVESTORS CAPITAL ADVISORY (CRD#:30613) LYNNFIELD, MA
B
 10/16/2009 - 05/18/2012 INVESTORS CAPITAL CORP. (CRD#:30613) LYNNFIELD, MA
B
 12/10/2007 - 10/07/2009 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
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.