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James D Vasquez
James David Vasquez
CRD#: 6125616
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J.P. MORGAN SECURITIES LLCCRD#: 79 1467 MAIN STREET
RAMONA, CA 92065
RAMONA, CA 92065
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Disclosures
11
Years of Experience
View By:
State Registrations
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California 7/20/2023
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California 10/16/2024
SRO Registrations
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Registered with this firm since 10/16/2024
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Registered with this firm since 7/20/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/20/2020 - 06/22/2023 | LA MESA, CA | |
IA | 07/22/2020 - 06/06/2023 | San Diego, CA | |
IA | 09/23/2019 - 03/20/2020 | San Diego, CA | |
B | 09/23/2019 - 03/20/2020 | San Diego, CA | |
IA | 12/12/2018 - 06/08/2019 | SAN DIEGO, CA | |
B | 11/09/2018 - 06/08/2019 | SAN DIEGO, CA | |
IA | 05/26/2017 - 09/26/2018 | LA JOLLA, CA | |
B | 04/26/2017 - 09/26/2018 | LA JOLLA, CA | |
B | 11/20/2012 - 03/01/2017 | Carlsbad, CA |
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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.