Individual Firm
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Bruce A Anapol
BRUCE ADAM ANAPOL, Bruce Anapol
CRD#: 5929750
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 16 EAST MAIN STREET
MOUNT KISCO, NY 10549
MOUNT KISCO, NY 10549
View By:
5/9/2022
Customer Dispute
Denied
State Registrations
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California 1/5/2023
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New York 10/14/2022
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Connecticut 10/14/2022
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New York 10/20/2022
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Florida 1/19/2023
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Oregon 12/5/2024
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Georgia 8/30/2024
B
South Carolina 5/23/2023
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Maryland 12/6/2022
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Tennessee 3/24/2023
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New Jersey 10/14/2022
B
Washington 12/13/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/14/2022
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Registered with this firm since 10/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2019 - 09/30/2022 | WHITE PLAINS, NY | |
B | 11/04/2019 - 09/30/2022 | WHITE PLAINS, NY | |
IA | 10/05/2018 - 10/30/2019 | RYE BROOK, NY | |
B | 07/25/2018 - 10/30/2019 | RYE BROOK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.