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Detailed Report
Travis L. Dock
TRAVIS L DOCK, TRAVIS La'roi DOCK, TRAVIS DOCK
CRD#: 6132262
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 925 HIGHWAY 6
SUGARLAND, TX 77478
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (3 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2019 - 2022 (2 years)BCITIZENS SECURITIES, INC. (CRD# 39550)2015 - 2019 (3 years)BW&S BROKERAGE SERVICES, INC. (CRD# 8099)2013 - 2015 (2 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - 2022 (<1 year)
Disclosure(s)
View By:
6/10/2009
Judgment / Lien
12/5/2000
Criminal
Final Disposition
License(s)

State Registrations

B
Texas 2/18/2022
IA
Texas 2/18/2022

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)
925 HIGHWAY 6, SUGARLAND, TX 77478
Registered with this firm since 2/18/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
925 HIGHWAY 6, SUGARLAND, TX 77478
Registered with this firm since 2/10/2022
Previous Registration(s)
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IA
 07/15/2021 - 01/06/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FLOURTOWN, PA
B
 04/16/2019 - 01/06/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FLOURTOWN, PA
B
 08/06/2015 - 03/12/2019 CITIZENS SECURITIES, INC. (CRD#:39550) WARRINGTON, PA
B
 04/29/2013 - 07/17/2015 W&S BROKERAGE SERVICES, INC. (CRD#:8099) BALA CYNWYD, PA
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.