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Detailed Report
Carlos Perez
CARLOS E PEREZ, CARLOS EDUARDO PEREZ
CRD#: 6066746
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 14400 MEMORIAL DRIVE
HOUSTON, TX 77079
Registration History
201220142016201820202022202420262 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2019 (2 years)2 FIRMS2022 - Present (2 years)BFROST BROKERAGE SERVICES, INC. (CRD# 17465)2019 - 2022 (3 years)IAFROST INVESTMENT SERVICES (CRD# 286129)2022 - 2022 (<1 year)IAFROST INVESTMENT SERVICES (CRD# 286129)2019 - 2021 (2 years)
License(s)

State Registrations

B
Alabama 9/26/2024
B
Ohio 2/7/2025
B
California 10/27/2023
B
Tennessee 11/2/2022
B
Florida 10/31/2022
B
Texas 10/5/2022
B
Georgia 2/29/2024
IA
Texas 10/5/2022
B
Louisiana 2/14/2023
B
Virginia 2/23/2023
B
North Carolina 12/2/2022

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 National, Inc.
B
 NYSE Texas, 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)
14400 MEMORIAL DRIVE, HOUSTON, TX 77079
Registered with this firm since 10/5/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
14400 MEMORIAL DRIVE, HOUSTON, TX 77079
Registered with this firm since 10/5/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2022 - 10/31/2022 FROST INVESTMENT SERVICES (CRD#:286129) Katy, TX
B
 07/22/2019 - 10/31/2022 FROST BROKERAGE SERVICES, INC. (CRD#:17465) BELLAIRE, TX
IA
 07/22/2019 - 12/31/2021 FROST INVESTMENT SERVICES (CRD#:286129) KATY, TX
IA
 06/14/2017 - 07/23/2019 COMERICA SECURITIES (CRD#:17079) HOUSTON, TX
B
 06/14/2017 - 07/23/2019 COMERICA SECURITIES (CRD#:17079) HOUSTON, TX
IA
 03/07/2016 - 04/25/2017 RBC CAPITAL MARKETS, LLC (CRD#:31194) HOUSTON, TX
B
 03/07/2016 - 04/25/2017 RBC CAPITAL MARKETS, LLC (CRD#:31194) HOUSTON, TX
IA
 04/19/2013 - 03/08/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
 04/19/2013 - 03/08/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
IA
 12/17/2012 - 05/02/2013 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
 10/09/2012 - 05/02/2013 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
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.