Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROBERT BRADLEY GRACE
ROBERT BRADLEY GRACE JR
CRD#: 5490484
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 100 DETROIT ST
DENVER, CO 80206
Registration History
2010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BLINCOLN FINANCIAL SECURITIES C... (CRD# 3870)2009 - 2009 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
License(s)

State Registrations

B
Alaska 3/15/2023
B
Nebraska 10/21/2021
B
Arizona 8/14/2013
B
Nevada 1/29/2014
B
Arkansas 1/8/2019
B
New Jersey 5/18/2015
B
California 10/1/2012
B
New Mexico 10/1/2012
B
Colorado 10/1/2012
B
New York 4/12/2016
IA
Colorado 10/1/2012
B
North Carolina 2/11/2015
B
Connecticut 12/19/2013
B
Ohio 8/10/2016
B
District of Columbia 7/19/2016
B
Oklahoma 10/1/2012
B
Florida 6/28/2013
B
Oregon 10/1/2012
B
Georgia 7/30/2019
B
Pennsylvania 11/3/2017
B
Hawaii 8/4/2022
B
South Dakota 10/1/2012
B
Idaho 5/17/2022
B
Tennessee 11/29/2018
B
Illinois 10/1/2012
B
Texas 2/22/2016
B
Indiana 8/9/2021
IA
Texas 2/22/2016
B
Kansas 10/1/2012
B
Utah 8/23/2018
B
Massachusetts 8/16/2018
B
Virginia 12/11/2013
B
Minnesota 10/26/2015
B
Washington 5/7/2021
B
Montana 5/14/2014
B
Wyoming 8/26/2022

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)
100 DETROIT ST, DENVER, CO 80206
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 DETROIT ST, DENVER, CO 80206
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DENVER, CO
B
 10/01/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DENVER, CO
B
 01/26/2009 - 08/20/2009 LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870) TULSA, OK
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.