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Detailed Report
Sara Renee Steigerwald
CRD#: 6019791
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 CHASE TOWER CHICAGO
21 S. CLARK STREET / 10 SOUTH DEARBORN, FLOOR 32
CHICAGO, IL 60603
Registration History
201220142016201820202022202420262 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - 2022 (5 years)2 FIRMS2022 - Present (3 years)
License(s)

State Registrations

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Alabama 1/14/2022
B
Nebraska 1/14/2022
B
Alaska 1/14/2022
B
Nevada 1/14/2022
B
Arizona 1/14/2022
B
New Hampshire 1/14/2022
B
Arkansas 1/14/2022
B
New Jersey 1/14/2022
B
California 1/14/2022
B
New Mexico 1/14/2022
B
Colorado 1/14/2022
B
New York 1/14/2022
B
Connecticut 1/14/2022
B
North Carolina 1/14/2022
B
Delaware 1/14/2022
B
North Dakota 1/14/2022
B
District of Columbia 1/14/2022
B
Ohio 1/18/2022
B
Florida 1/14/2022
B
Oklahoma 1/14/2022
B
Georgia 1/14/2022
B
Oregon 1/14/2022
B
Hawaii 1/14/2022
B
Pennsylvania 1/14/2022
B
Idaho 1/14/2022
B
Puerto Rico 1/14/2022
B
Illinois 1/14/2022
B
Rhode Island 1/14/2022
IA
Illinois 1/14/2022
B
South Carolina 1/14/2022
B
Indiana 1/14/2022
B
South Dakota 1/14/2022
B
Iowa 1/14/2022
B
Tennessee 1/14/2022
B
Kansas 1/14/2022
B
Texas 1/14/2022
B
Kentucky 1/14/2022
IA
Texas 1/14/2022
B
Louisiana 1/14/2022
B
Utah 1/14/2022
B
Maine 1/14/2022
B
Vermont 1/14/2022
B
Maryland 1/14/2022
B
Virgin Islands 1/14/2022
B
Massachusetts 1/14/2022
B
Virginia 1/14/2022
B
Michigan 1/14/2022
B
Washington 1/14/2022
B
Minnesota 1/14/2022
B
West Virginia 1/14/2022
B
Mississippi 1/14/2022
B
Wisconsin 1/14/2022
B
Missouri 1/14/2022
B
Wyoming 1/14/2022
B
Montana 1/14/2022

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)
CHASE TOWER CHICAGO 21 S. CLARK STREET / 10 SOUTH DEARBORN, FLOOR 32, CHICAGO, IL 60603
Chicago, IL
Registered with this firm since 1/14/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
CHASE TOWER CHICAGO 21 S. CLARK STREET / 10 SOUTH DEARBORN, FLOOR 32, CHICAGO, IL 60603
Chicago, IL
Registered with this firm since 1/14/2022
Previous Registration(s)
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IA
 05/06/2016 - 01/21/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHICAGO, IL
B
 05/06/2016 - 01/21/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHICAGO, IL
IA
 04/05/2012 - 06/03/2016 MORGAN STANLEY (CRD#:149777) CHICAGO, IL
B
 03/12/2012 - 06/03/2016 MORGAN STANLEY (CRD#:149777) CHICAGO, IL
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.