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Detailed Report
HEATH JOHNSON
CRD#: 5580373
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1002 BRIGHTON BEACH AVE
BROOKLYN, NY 11235
Registration History
20082010201220142016201820202022202420262 FIRMS2020 - 2020 (<1 year)2 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)BJ.P. TURNER & COMPANY, L.L.C. (CRD# 43177)2009 - 2010 (<1 year)BFORDHAM FINANCIAL MANAGEMENT, INC. (CRD# 20996)2008 - 2009 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
Disclosure(s)
View By:
6/12/2013
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 10/11/2017
IA
New Jersey 10/1/2012
B
Arizona 6/26/2018
B
New York 10/1/2012
B
California 10/1/2012
IA
New York 5/3/2021
B
Colorado 12/10/2018
B
North Carolina 3/1/2017
B
Connecticut 10/1/2012
B
Ohio 12/13/2013
B
Delaware 6/14/2016
B
Oklahoma 4/26/2022
B
District of Columbia 5/1/2013
B
Pennsylvania 10/1/2012
B
Florida 2/11/2013
B
Rhode Island 3/7/2013
B
Georgia 3/13/2013
B
South Carolina 9/13/2016
B
Hawaii 4/15/2020
B
Tennessee 1/18/2013
B
Illinois 11/8/2012
B
Texas 2/19/2019
B
Indiana 5/1/2014
IA
Texas 2/25/2019
B
Maine 6/29/2018
B
Virginia 4/27/2017
B
Maryland 6/10/2022
B
Washington 10/26/2018
B
Massachusetts 10/26/2016
B
West Virginia 4/26/2022
B
Michigan 12/5/2022
B
Wisconsin 6/8/2016
B
New Jersey 10/1/2012

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)
1002 BRIGHTON BEACH AVE, BROOKLYN, NY 11235
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1002 BRIGHTON BEACH AVE, BROOKLYN, NY 11235
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/05/2020 - 08/19/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) OAKHURST, NJ
B
 08/05/2020 - 08/19/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) OAKHURST, NJ
IA
 05/19/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BROOKLYN, NY
B
 03/22/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BROOKLYN, NY
B
 06/26/2009 - 03/09/2010 J.P. TURNER & COMPANY, L.L.C. (CRD#:43177) BROOKLYN, NY
B
 08/12/2008 - 06/24/2009 FORDHAM FINANCIAL MANAGEMENT, INC. (CRD#:20996) NEW YORK, NY
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.