Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
9/30/2024
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/24/2017
B
New Jersey 8/24/2023
B
California 10/1/2012
B
North Carolina 10/10/2019
IA
California 10/1/2012
B
Tennessee 11/16/2020
B
Colorado 7/11/2016
B
Texas 10/1/2012
B
Florida 6/28/2016
IA
Texas 9/25/2013
B
Georgia 12/8/2020
B
Utah 6/19/2017
B
Idaho 9/29/2020
B
Virginia 11/11/2021
B
Illinois 10/2/2013
B
Washington 11/30/2021
B
Indiana 3/20/2020
B
Wisconsin 4/16/2021

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)
6300 E. SPRING ST, LONG BEACH, CA 90815
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
6300 E. SPRING ST, LONG BEACH, CA 90815
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/05/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LONG BEACH, CA
B
 01/14/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LONG BEACH, CA
IA
 08/13/2008 - 01/09/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA ANA, CA
B
 06/04/2008 - 01/09/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA ANA, CA
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.