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Detailed Report
Cori L. Cass
CORI L CASS, CORI LEE CASS, CORI CASS
CRD#: 5636465
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 66 MAIN STREET
EAST HAMPTON, NY 11937
Registration History
2014201520162017201820192020202120222023202420252026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2020 - Present (4 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - Present (10 years)
License(s)

State Registrations

B
Arizona 8/18/2021
IA
New Jersey 11/10/2020
B
California 4/27/2021
B
New York 9/29/2014
B
Colorado 7/5/2024
IA
New York 5/3/2021
B
Connecticut 9/29/2014
B
North Carolina 6/11/2024
B
Delaware 3/26/2025
B
Pennsylvania 11/13/2024
B
District of Columbia 7/13/2022
B
Puerto Rico 8/9/2023
B
Florida 6/21/2021
B
Tennessee 10/11/2023
B
Georgia 11/29/2022
B
Texas 3/22/2022
B
Hawaii 4/11/2022
IA
Texas 4/4/2022
B
Maryland 12/21/2023
B
Virginia 11/7/2022
B
Massachusetts 7/22/2022
B
Wisconsin 11/6/2020
B
New Jersey 8/14/2014

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

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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)
66 MAIN STREET, EAST HAMPTON, NY 11937
48 N FERRY RD, SHELTER ISLAND, NY 11964
Registered with this firm since 11/10/2020
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
66 MAIN STREET, EAST HAMPTON, NY 11937
48 N FERRY RD, SHELTER ISLAND, NY 11964
Registered with this firm since 8/14/2014
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.