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Registration History
201220142016201820202022202420262 FIRMS2015 - Present (9 years)BAXA ADVISORS, LLC (CRD# 6627)2012 - 2015 (3 years)BSII INVESTMENTS, INC. (CRD# 2225)2011 - 2012 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2015 - 2015 (<1 year)
Disclosure(s)
View By:
10/3/2017
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/26/2015

B
North Carolina 6/8/2016

B
Arkansas 7/10/2019

B
Ohio 6/8/2016

B
California 3/16/2017

B
South Carolina 6/12/2020

B
Colorado 9/17/2020

B
Tennessee 8/9/2018

B
Connecticut 6/16/2020

B
Texas 12/23/2015

B
Florida 12/23/2015

IA
Texas 12/23/2015

B
Georgia 4/25/2023

B
Virginia 9/8/2023

B
Illinois 12/21/2015

B
West Virginia 6/15/2020

B
Iowa 4/11/2018

B
Wisconsin 9/3/2015

B
Minnesota 12/23/2015

IA
Wisconsin 9/3/2015

B
New York 3/10/2021

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
J.P. MORGAN SECURITIES LLC (CRD#:79)
110 OAKTON AVENUE, PEWAUKEE, WI 53072
Registered with this firm since 9/3/2015

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
110 OAKTON AVENUE, PEWAUKEE, WI 53072
Registered with this firm since 9/3/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/06/2015 - 09/01/2015 AXA ADVISORS, LLC (CRD#:6627) MILWAUKEE, WI
B
04/10/2012 - 09/01/2015 AXA ADVISORS, LLC (CRD#:6627) MILWAUKEE, WI
B
12/20/2011 - 04/03/2012 SII INVESTMENTS, INC. (CRD#:2225) BROOKFIELD, WI
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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.