Individual Firm
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Nicholas Moragne
NICHOLAS J MORAGNE, NICHOLAS JAMES MORAGNE, NICK JAMES MORAGNE
CRD#: 6060886
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 712 MAIN STREET
HOUSTON, TX 77002
HOUSTON, TX 77002
View By:
6/21/2022
Customer Dispute
Denied
State Registrations
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California 7/21/2021
B
Nebraska 12/16/2020
B
Colorado 10/19/2021
B
New York 7/8/2021
B
Florida 5/7/2020
B
Oklahoma 7/24/2023
B
Georgia 6/16/2022
B
Tennessee 10/31/2023
B
Louisiana 5/24/2021
B
Texas 8/26/2019
B
Maryland 4/30/2024
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Texas 8/26/2019
B
Minnesota 9/1/2023
B
Virginia 8/16/2022
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 8/26/2019
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Registered with this firm since 8/26/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/28/2014 - 08/07/2019 | SUGAR LAND, TX | |
B | 07/28/2014 - 08/07/2019 | SUGAR LAND, TX | |
IA | 08/01/2012 - 07/08/2014 | BATON ROUGE, LA | |
B | 06/28/2012 - 07/08/2014 | BATON ROUGE, LA |
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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.
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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.