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Detailed Report
Andy A Rubio
ANDY A RUBIO, ANDY ALEXANDER RUBIO, ANDY RUBIO
CRD#: 6422583
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 136 FULTON STREET
HEMPSTEAD, NY 11550
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2022 (2 years)BNYLIFE SECURITIES LLC (CRD# 5167)2018 - 2019 (<1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2016 - 2017 (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2016 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - 2022 (2 years)
License(s)

State Registrations

B
California 9/29/2022
B
New York 6/30/2022
B
Connecticut 6/23/2022
B
North Carolina 6/27/2022
B
Florida 9/29/2022
B
Texas 6/23/2022
B
Georgia 12/9/2022
IA
Texas 6/23/2022
B
New Jersey 6/30/2022
B
Virginia 10/4/2022
IA
New York 6/22/2022

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)
136 FULTON STREET, HEMPSTEAD, NY 11550
350 HILLSIDE AVENUE, NEW HYDE PARK, NY 11040
Registered with this firm since 6/22/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
136 FULTON STREET, HEMPSTEAD, NY 11550
350 HILLSIDE AVENUE, NEW HYDE PARK, NY 11040
Registered with this firm since 6/22/2022
Previous Registration(s)
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IA
 01/21/2020 - 06/06/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BAYSIDE, NY
B
 10/29/2019 - 06/06/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BAYSIDE, NY
B
 11/19/2018 - 10/24/2019 NYLIFE SECURITIES LLC (CRD#:5167) NEW YORK, NY
B
 07/27/2016 - 11/17/2017 HSBC SECURITIES (USA) INC. (CRD#:19585) JACKSON HEIGHTS, NY
B
 02/09/2015 - 06/23/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) GLENDALE, NY
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.