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Detailed Report
James Lopez
James W Lopez
CRD#: 5871900
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1111 Polaris Pkwy
Columbus, OH 43240
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2023 - Present (1 year)BMORGAN STANLEY (CRD# 149777)2014 - 2023 (9 years)IAMORGAN STANLEY (CRD# 149777)2020 - 2023 (3 years)
License(s)

State Registrations

B
Ohio 12/12/2023
IA
Ohio 12/14/2023

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)
1111 Polaris Pkwy, Columbus, OH 43240
SPRINGFIELD, OH
Registered with this firm since 12/14/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1111 Polaris Pkwy, Columbus, OH 43240
SPRINGFIELD, OH
Registered with this firm since 12/5/2023
Previous Registration(s)
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 06/02/2020 - 11/29/2023 MORGAN STANLEY (CRD#:149777) Beavercreek, OH
B
 01/15/2014 - 11/29/2023 MORGAN STANLEY (CRD#:149777) Beavercreek, OH
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.