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Detailed Report
Heather Swartzell
HEATHER ELAINE GIBSON, HEATHER ELAINE GIBSON SWARTZELL, HEATHER G SWARTZELL
CRD#: 5844301
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1 E Ohio St
Floor 17
Indianapolis, IN 46204
Registration History
201020122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2024 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - Present (10 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2011 - 2014 (2 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2018 (3 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2012 - 2014 (1 year)
Disclosure(s)
View By:
7/20/2009
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 5/4/2018
B
Montana 5/7/2018
B
Alaska 5/4/2018
B
Nebraska 5/4/2018
B
Arizona 12/12/2016
B
Nevada 5/11/2018
B
Arkansas 5/21/2018
B
New Hampshire 5/8/2018
B
California 1/30/2018
B
New Jersey 5/8/2018
B
Colorado 5/15/2018
B
New Mexico 5/7/2018
B
Connecticut 5/4/2018
B
New York 5/7/2018
B
Delaware 2/29/2016
B
North Carolina 3/27/2015
B
District of Columbia 5/8/2018
B
North Dakota 5/10/2018
B
Florida 9/23/2014
B
Ohio 3/13/2015
B
Georgia 5/23/2017
B
Oklahoma 5/8/2018
B
Hawaii 5/4/2018
B
Oregon 7/16/2018
B
Idaho 5/7/2018
B
Pennsylvania 5/7/2018
B
Illinois 5/4/2018
B
Puerto Rico 5/8/2018
B
Indiana 8/25/2014
B
Rhode Island 12/6/2017
IA
Indiana 1/16/2024
B
South Carolina 5/17/2018
B
Iowa 5/7/2018
B
South Dakota 5/7/2018
B
Kansas 5/11/2018
B
Tennessee 3/12/2015
B
Kentucky 5/8/2018
B
Texas 5/7/2018
B
Louisiana 5/4/2018
B
Utah 5/7/2018
B
Maine 5/7/2018
B
Vermont 5/7/2018
B
Maryland 5/10/2018
B
Virgin Islands 5/7/2018
B
Massachusetts 5/14/2018
B
Virginia 5/7/2018
B
Michigan 5/8/2018
B
Washington 5/7/2018
B
Minnesota 5/7/2018
B
West Virginia 5/18/2018
B
Mississippi 5/7/2018
B
Wisconsin 9/15/2016
B
Missouri 5/4/2018
B
Wyoming 5/11/2018

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)
1 E Ohio St Floor 17, Indianapolis, IN 46204
Registered with this firm since 1/16/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1 E Ohio St Floor 17, Indianapolis, IN 46204
Registered with this firm since 8/21/2014
Previous Registration(s)
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IA
 08/26/2014 - 05/04/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) FISHERS, IN
IA
 09/18/2012 - 08/18/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
B
 12/13/2011 - 08/18/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
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.