Individual Firm
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CANDI ROSE TREVINO
CRD#: 5656992
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J.P. MORGAN SECURITIES LLCCRD#: 79 221 W. SIXTH ST.
AUSTIN, TX 78701
AUSTIN, TX 78701
View By:
5/26/2010
Criminal
Final Disposition
State Registrations
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Arkansas 11/1/2023
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New York 7/5/2023
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California 2/16/2022
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North Carolina 10/12/2020
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Colorado 5/8/2023
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Oklahoma 1/25/2021
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Florida 3/5/2021
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Puerto Rico 5/16/2023
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Georgia 5/15/2023
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South Carolina 8/4/2021
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Illinois 12/9/2022
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Tennessee 4/21/2021
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Maryland 5/16/2023
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Texas 10/13/2020
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Massachusetts 5/15/2023
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Texas 10/13/2020
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Michigan 9/12/2023
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Wyoming 2/4/2025
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Nevada 12/15/2020
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/13/2020
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Registered with this firm since 10/9/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/09/2015 - 09/29/2020 | AUSTIN, TX | |
B | 10/09/2015 - 09/29/2020 | AUSTIN, TX | |
IA | 10/01/2012 - 10/22/2015 | AUSTIN, TX | |
B | 10/01/2012 - 10/22/2015 | AUSTIN, TX | |
IA | 09/19/2012 - 10/01/2012 | AUSTIN, TX | |
B | 12/15/2009 - 10/01/2012 | AUSTIN, TX | |
B | 08/13/2009 - 10/12/2009 | AUSTIN, TX |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.