Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Kenneth Lopian
KENNETH M LOPIAN, KENNETH MF LOPIAN, KENNETH MICHAEL LOPIAN
CRD#: 5698711
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 25 Deforest Avenue
Floor 3
Summit, NJ 07901
Registration History
2010201220142016201820202022202420262 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2015 (1 year)BBNY CONVERGEX EXECUTION SOLUTI... (CRD# 35693)2009 - 2011 (2 years)
License(s)

State Registrations

B
Alabama 8/24/2021
B
Nevada 8/24/2021
B
Alaska 8/24/2021
B
New Hampshire 8/24/2021
B
Arizona 8/24/2021
B
New Jersey 8/24/2021
B
Arkansas 8/24/2021
IA
New Jersey 10/13/2021
B
California 8/24/2021
B
New Mexico 8/24/2021
B
Colorado 8/24/2021
B
New York 8/24/2021
B
Connecticut 8/24/2021
B
North Carolina 8/24/2021
B
Delaware 8/24/2021
B
North Dakota 8/24/2021
B
District of Columbia 8/24/2021
B
Ohio 8/24/2021
B
Florida 8/24/2021
B
Oklahoma 8/24/2021
B
Georgia 8/24/2021
B
Oregon 8/24/2021
B
Hawaii 8/24/2021
B
Pennsylvania 8/24/2021
B
Idaho 8/24/2021
B
Puerto Rico 8/24/2021
B
Illinois 8/24/2021
B
Rhode Island 8/24/2021
B
Indiana 8/24/2021
B
South Carolina 8/24/2021
B
Iowa 8/24/2021
B
South Dakota 8/24/2021
B
Kansas 8/24/2021
B
Tennessee 8/24/2021
B
Kentucky 8/24/2021
B
Texas 8/24/2021
B
Louisiana 8/24/2021
IA
Texas 11/17/2022
B
Maine 8/24/2021
B
Utah 8/24/2021
B
Maryland 8/24/2021
B
Vermont 8/24/2021
B
Massachusetts 8/24/2021
B
Virgin Islands 8/24/2021
B
Michigan 8/24/2021
B
Virginia 8/24/2021
B
Minnesota 8/24/2021
B
Washington 8/24/2021
B
Mississippi 8/24/2021
B
West Virginia 8/24/2021
B
Missouri 8/24/2021
B
Wisconsin 8/24/2021
B
Montana 8/24/2021
B
Wyoming 8/24/2021
B
Nebraska 8/24/2021

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 National, Inc.
B
 NYSE Texas, 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)
25 Deforest Avenue Floor 3, Summit, NJ 07901
Registered with this firm since 10/13/2021
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
25 Deforest Avenue Floor 3, Summit, NJ 07901
Registered with this firm since 8/24/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/13/2016 - 08/09/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 05/13/2016 - 08/09/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 10/29/2013 - 06/19/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 08/10/2009 - 11/14/2011 BNY CONVERGEX EXECUTION SOLUTIONS LLC (CRD#:35693) 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.