Individual Firm
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MATTHEW DENNIS FLEMING
CRD#: 5696334
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 280 PAGE AVENUE
STATEN ISLAND, NY 10307
STATEN ISLAND, NY 10307
0
Disclosures
15
Years of Experience
View By:
State Registrations
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Connecticut 10/1/2012
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New York 10/1/2012
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Florida 6/4/2018
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New York 5/3/2021
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Illinois 8/27/2020
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Pennsylvania 2/16/2022
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Louisiana 3/29/2017
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Tennessee 10/21/2020
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New Jersey 10/1/2012
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Virginia 4/16/2021
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New Jersey 10/1/2012
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/20/2011 - 10/01/2012 | STATEN ISLAND, NY | |
B | 01/11/2011 - 10/01/2012 | STATEN ISLAND, NY | |
B | 01/20/2010 - 08/10/2010 | MATAWAN, NJ | |
B | 11/10/2009 - 01/14/2010 | NEW YORK, NY | |
B | 09/11/2009 - 11/12/2009 | NEW YORK, NY |
NEW YORK, NY
11/10/2009 - 01/14/2010
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.