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Detailed Report
Lauren Elizabeth Paine
LAUREN E PAINE
CRD#: 6384094
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 600 Travis St
Floors 61st & 62nd
Houston, TX 77002-3009
Registration History
2018201920202021202220232024202520262 FIRMS2023 - Present (1 year)BAVALON WEALTH MANAGEMENT LLC (CRD# 162745)2022 - 2023 (1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2018 - 2021 (2 years)IACORIENT (CRD# 319448)2023 - 2023 (<1 year)IAAVALON INVESTMENT & ADVISORY (CRD# 112556)2021 - 2023 (1 year)
License(s)

State Registrations

B
Alabama 8/2/2023
B
Nebraska 8/2/2023
B
Alaska 8/2/2023
B
Nevada 8/2/2023
B
Arizona 8/2/2023
B
New Hampshire 8/2/2023
B
Arkansas 8/2/2023
B
New Jersey 8/2/2023
B
California 8/2/2023
B
New Mexico 8/2/2023
B
Colorado 8/2/2023
B
New York 8/2/2023
B
Connecticut 8/2/2023
B
North Carolina 8/2/2023
B
Delaware 8/2/2023
B
North Dakota 8/2/2023
B
District of Columbia 8/2/2023
B
Ohio 8/2/2023
B
Florida 8/2/2023
B
Oklahoma 8/2/2023
B
Georgia 8/2/2023
B
Oregon 8/2/2023
B
Hawaii 8/2/2023
B
Pennsylvania 8/2/2023
B
Idaho 8/2/2023
B
Puerto Rico 8/2/2023
B
Illinois 8/2/2023
B
Rhode Island 8/2/2023
B
Indiana 8/2/2023
B
South Carolina 8/2/2023
B
Iowa 8/2/2023
B
South Dakota 8/2/2023
B
Kansas 8/2/2023
B
Tennessee 8/2/2023
B
Kentucky 8/2/2023
B
Texas 8/2/2023
B
Louisiana 8/2/2023
IA
Texas 8/2/2023
B
Maine 8/2/2023
B
Utah 8/2/2023
B
Maryland 8/2/2023
B
Vermont 8/2/2023
B
Massachusetts 8/2/2023
B
Virgin Islands 8/2/2023
B
Michigan 8/2/2023
B
Virginia 8/2/2023
B
Minnesota 8/2/2023
B
Washington 8/2/2023
B
Mississippi 8/2/2023
B
West Virginia 8/2/2023
B
Missouri 8/2/2023
B
Wisconsin 8/2/2023
B
Montana 8/2/2023
B
Wyoming 8/2/2023

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)
600 Travis St Floors 61st & 62nd, Houston, TX 77002-3009
Registered with this firm since 8/2/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
600 Travis St Floors 61st & 62nd, Houston, TX 77002-3009
Registered with this firm since 8/2/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/02/2023 - 08/15/2023 CORIENT (CRD#:319448) Houston, TX
IA
 09/06/2021 - 07/21/2023 AVALON INVESTMENT & ADVISORY (CRD#:112556) HOUSTON, TX
B
 04/25/2022 - 05/05/2023 AVALON WEALTH MANAGEMENT LLC (CRD#:162745) HOUSTON, TX
B
 09/08/2018 - 01/08/2021 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) 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.