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Detailed Report
Sean Fischer
SEAN PATRICK FISCHER
CRD#: 5853304
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1455 16th St
Ste 407
Denver, CO 80202
Registration History
2010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BBOK FINANCIAL SECURITIES, INC. (CRD# 17530)2022 - 2024 (2 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2016 - 2022 (5 years)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2010 - 2016 (5 years)
License(s)

State Registrations

B
Alabama 7/19/2024
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Nebraska 7/19/2024
B
Alaska 7/19/2024
B
Nevada 7/19/2024
B
Arizona 7/19/2024
B
New Hampshire 7/19/2024
B
Arkansas 7/19/2024
B
New Jersey 7/19/2024
B
California 7/19/2024
B
New Mexico 7/19/2024
B
Colorado 7/19/2024
B
New York 7/19/2024
IA
Colorado 7/26/2024
B
North Carolina 7/19/2024
B
Connecticut 7/19/2024
B
North Dakota 7/19/2024
B
Delaware 7/19/2024
B
Ohio 7/19/2024
B
District of Columbia 7/19/2024
B
Oklahoma 7/19/2024
B
Florida 7/19/2024
B
Oregon 7/19/2024
B
Georgia 7/19/2024
B
Pennsylvania 7/19/2024
B
Hawaii 7/19/2024
B
Puerto Rico 7/19/2024
B
Idaho 7/19/2024
B
Rhode Island 7/19/2024
B
Illinois 7/19/2024
B
South Carolina 7/19/2024
B
Indiana 7/19/2024
B
South Dakota 7/19/2024
B
Iowa 7/19/2024
B
Tennessee 7/19/2024
B
Kansas 7/19/2024
B
Texas 7/19/2024
B
Kentucky 7/19/2024
IA
Texas 7/26/2024
B
Louisiana 7/19/2024
B
Utah 7/19/2024
B
Maine 7/19/2024
B
Vermont 7/19/2024
B
Maryland 7/19/2024
B
Virgin Islands 7/19/2024
B
Massachusetts 7/19/2024
B
Virginia 7/19/2024
B
Michigan 7/19/2024
B
Washington 7/19/2024
B
Minnesota 7/19/2024
B
West Virginia 7/19/2024
B
Mississippi 7/19/2024
B
Wisconsin 7/19/2024
B
Missouri 7/19/2024
B
Wyoming 7/19/2024
B
Montana 7/19/2024

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)
1455 16th St Ste 407, Denver, CO 80202
Registered with this firm since 7/26/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1455 16th St Ste 407, Denver, CO 80202
Registered with this firm since 7/19/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
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 04/18/2022 - 07/02/2024 BOK FINANCIAL SECURITIES, INC. (CRD#:17530) Denver, CO
B
 06/03/2016 - 04/07/2022 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) LAKEWOOD, CO
B
 11/10/2010 - 05/19/2016 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) DANA POINT, CA
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.