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Registration History
2010201220142016201820202022202420262 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - Present (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2017 (4 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2012 (1 year)
Disclosure(s)
View By:
2/4/2009
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 3/12/2021

B
New Mexico 10/20/2022

IA
Arizona 3/12/2021

B
North Carolina 1/29/2025

B
California 4/26/2019

B
Ohio 2/3/2021

IA
California 4/26/2019

B
Oregon 12/2/2019

B
Colorado 3/22/2022

B
South Carolina 5/12/2023

B
District of Columbia 8/29/2022

B
South Dakota 10/5/2021

B
Florida 9/30/2021

B
Tennessee 2/17/2021

B
Georgia 12/20/2024

B
Texas 12/11/2020

B
Maryland 6/7/2021

B
Virginia 9/30/2021

B
Nevada 9/13/2019

B
Washington 6/3/2021

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 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
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Buena Park, CA
CWM Retail, Sales 10081 Valley View Street, Cypress, CA 90630
Registered with this firm since 4/26/2019

B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Buena Park, CA
CWM Retail, Sales 10081 Valley View Street, Cypress, CA 90630
Registered with this firm since 4/25/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/30/2018 - 05/01/2019 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) TUSTIN, CA
B
01/29/2018 - 05/01/2019 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) TUSTIN, CA
IA
11/22/2017 - 02/02/2018 AXA ADVISORS, LLC (CRD#:6627) IRVINE, CA
B
03/13/2017 - 02/02/2018 AXA ADVISORS, LLC (CRD#:6627) IRVINE, CA
B
11/12/2012 - 01/17/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) IRVINE, CA
B
03/23/2011 - 05/24/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SEAL BEACH, CA
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B
Broker
IA
Investment Adviser
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.