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Detailed Report
Kenneth Middleton
KEN MIDDLETON, KENNETH MICHAEL MIDDLETON, KENNETH MIDDLETON, Kenneth M Middleton
CRD#: 6205871
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 3657 N Downing St
Denver, CO 80205
Registration History
201320142015201620172018201920202021202220232024202520263 FIRMS2018 - 2018 (<1 year)2 FIRMS2019 - 2024 (4 years)2 FIRMS2024 - Present (<1 year)BSCOTTRADE, INC. (CRD# 8206)2014 - 2018 (3 years)BNEWBRIDGE SECURITIES CORPORATION (CRD# 104065)2014 - 2014 (<1 year)BFIRST INVESTORS CORPORATION (CRD# 305)2013 - 2014 (<1 year)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Arizona 9/24/2024
B
North Carolina 8/9/2024
IA
Arizona 9/27/2024
B
Tennessee 12/10/2024
B
Colorado 8/9/2024
B
Texas 8/9/2024
IA
Colorado 8/9/2024
IA
Texas 8/9/2024

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 Chicago, Inc.
B
 NYSE National, 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)
3657 N Downing St, Denver, CO 80205
63 N Quebec St Ste 100, Denver, CO 80230
Registered with this firm since 8/9/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
3657 N Downing St, Denver, CO 80205
63 N Quebec St Ste 100, Denver, CO 80230
Registered with this firm since 8/9/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
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 07/01/2019 - 06/19/2024 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) GREENWOOD VILLAGE, CO
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 07/12/2019 - 06/18/2024 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) GREENWOOD VILLAGE, CO
IA
 03/16/2018 - 10/23/2018 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Denver, CO
IA
 03/15/2018 - 10/23/2018 TD AMERITRADE, INC. (CRD#:7870) Denver, CO
B
 02/26/2018 - 10/23/2018 TD AMERITRADE, INC. (CRD#:7870) KINGSPORT, TN
IA
 06/07/2017 - 03/24/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) Westminster, CO
B
 12/16/2014 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) WESTMINSTER, CO
B
 05/21/2014 - 10/07/2014 NEWBRIDGE SECURITIES CORPORATION (CRD#:104065) BOCA RATON, FL
B
 07/01/2013 - 05/19/2014 FIRST INVESTORS CORPORATION (CRD#:305) MIRAMAR, FL
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.