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Detailed Report
Robert John Masanotti
ROB J MASANOTTI, ROBERT JOHN MASANOTTI
CRD#: 5804805
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 122 MAIN ST
NEW CANAAN, CT 06840
Registration History
2010201220142016201820202022202420262 FIRMS2014 - 2017 (2 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BFOREFRONT CAPITAL MARKETS LLC (CRD# 151812)2013 - 2014 (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2010 - 2013 (2 years)BFIRST INVESTORS CORPORATION (CRD# 305)2010 - 2010 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2013 (2 years)
Disclosure(s)
View By:
4/25/2023
Customer Dispute
Denied
License(s)

State Registrations

B
California 9/27/2021
B
New York 7/23/2018
B
Colorado 6/9/2021
B
North Carolina 7/23/2018
B
Connecticut 7/23/2018
B
Pennsylvania 8/10/2020
IA
Connecticut 7/23/2018
B
Rhode Island 1/8/2025
B
Florida 9/4/2019
B
South Carolina 10/19/2023
B
Georgia 6/21/2022
B
Texas 7/23/2018
B
Kansas 9/4/2019
IA
Texas 7/23/2018
B
Maine 9/17/2018
B
Vermont 2/18/2021
B
Massachusetts 2/10/2021
B
Virginia 6/17/2022
B
New Jersey 7/23/2018

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)
122 MAIN ST, NEW CANAAN, CT 06840
Registered with this firm since 7/23/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
122 MAIN ST, NEW CANAAN, CT 06840
Registered with this firm since 7/23/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/25/2017 - 07/18/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) STAMFORD, CT
B
 03/25/2017 - 07/18/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) STAMFORD, CT
IA
 08/25/2014 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) STAMFORD, CT
B
 08/13/2014 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) STAMFORD, CT
B
 08/06/2013 - 08/18/2014 FOREFRONT CAPITAL MARKETS LLC (CRD#:151812) NEW YORK, NY
IA
 01/24/2011 - 07/15/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) OLD GREENWICH, CT
B
 11/24/2010 - 07/15/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) OLD GREENWICH, CT
B
 07/26/2010 - 08/16/2010 FIRST INVESTORS CORPORATION (CRD#:305) NORTH HAVEN, CT
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.