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Shawn Perona
SHAWN IAN PERONA
CRD#: 6068103
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 150 University 4th Floor
Tempe, AZ 85281
Tempe, AZ 85281
View By:
3/9/2011
Criminal
Final Disposition
State Registrations
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Alabama 7/29/2022
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Nebraska 7/6/2022
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Alaska 8/8/2022
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Nevada 7/29/2022
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Arizona 7/29/2022
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New Hampshire 8/3/2022
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Arizona 7/29/2022
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New Jersey 7/29/2022
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Arkansas 8/2/2022
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New Mexico 8/1/2022
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California 7/26/2022
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New York 8/19/2022
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Colorado 8/1/2022
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North Carolina 7/6/2022
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Connecticut 7/6/2022
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North Dakota 8/2/2022
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Delaware 8/30/2022
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Ohio 7/6/2022
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District of Columbia 7/11/2022
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Oklahoma 8/2/2022
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Florida 7/25/2022
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Oregon 7/8/2022
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Georgia 8/25/2022
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Pennsylvania 7/6/2022
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Hawaii 8/3/2022
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Puerto Rico 7/15/2022
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Idaho 7/22/2022
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Rhode Island 8/1/2022
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Illinois 8/25/2022
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South Carolina 8/1/2022
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Indiana 8/1/2022
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South Dakota 8/1/2022
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Iowa 7/21/2022
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Tennessee 7/29/2022
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Kansas 7/6/2022
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Texas 7/5/2022
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Kentucky 8/1/2022
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Texas 7/7/2022
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Louisiana 8/2/2022
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Utah 7/6/2022
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Maine 7/6/2022
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Vermont 7/29/2022
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Maryland 7/6/2022
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Virgin Islands 8/3/2022
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Massachusetts 7/6/2022
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Virginia 8/1/2022
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Michigan 7/21/2022
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Washington 8/1/2022
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Minnesota 8/1/2022
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West Virginia 8/1/2022
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Mississippi 8/1/2022
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Wisconsin 7/11/2022
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Missouri 7/6/2022
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Wyoming 8/1/2022
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Montana 7/5/2022
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
IA
Registered with this firm since 7/7/2022
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Registered with this firm since 7/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/14/2020 - 04/06/2021 | CHANDLER, AZ | |
B | 08/18/2020 - 04/06/2021 | CHANDLER, AZ | |
IA | 03/04/2019 - 05/12/2020 | SCOTTSDALE, AZ | |
B | 03/04/2019 - 05/12/2020 | SCOTTSDALE, AZ | |
IA | 10/03/2016 - 03/06/2019 | CHANDLER, AZ | |
B | 10/03/2016 - 03/06/2019 | CHANDLER, AZ | |
IA | 10/07/2014 - 09/27/2016 | SCOTTSDALE, AZ | |
B | 08/20/2014 - 09/27/2016 | SCOTTSDALE, AZ |
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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.
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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.
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