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Stephen Porter Pendleton
STEPHEN PORTER PENDLETON JR, STEPHEN PORTER PENDLETON, STEPHEN PENDLETON
CRD#: 6503568
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 10 S Dearborn St
Floor 08
Chicago, IL 60603
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2018 (2 years)2 FIRMS2018 - 2021 (2 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 3/9/2021

B
Nebraska 3/9/2021

B
Alaska 3/9/2021

B
Nevada 3/9/2021

B
Arizona 3/9/2021

B
New Hampshire 3/9/2021

B
Arkansas 3/9/2021

B
New Jersey 3/9/2021

B
California 3/9/2021

B
New Mexico 3/9/2021

B
Colorado 3/9/2021

B
New York 3/9/2021

B
Connecticut 3/9/2021

B
North Carolina 3/9/2021

B
Delaware 3/9/2021

B
North Dakota 3/9/2021

B
District of Columbia 3/9/2021

B
Ohio 3/9/2021

B
Florida 3/9/2021

B
Oklahoma 3/9/2021

B
Georgia 3/9/2021

B
Oregon 3/9/2021

B
Hawaii 3/9/2021

B
Pennsylvania 3/9/2021

B
Idaho 3/9/2021

B
Puerto Rico 3/9/2021

B
Illinois 3/9/2021

B
Rhode Island 3/9/2021

IA
Illinois 3/9/2021

B
South Carolina 3/9/2021

B
Indiana 3/9/2021

B
South Dakota 3/9/2021

B
Iowa 3/9/2021

B
Tennessee 3/9/2021

B
Kansas 3/9/2021

B
Texas 3/9/2021

B
Kentucky 3/9/2021

IA
Texas 3/9/2021

B
Louisiana 3/9/2021

B
Utah 3/9/2021

B
Maine 3/9/2021

B
Vermont 3/9/2021

B
Maryland 3/9/2021

B
Virgin Islands 3/9/2021

B
Massachusetts 3/9/2021

B
Virginia 3/9/2021

B
Michigan 3/9/2021

B
Washington 3/9/2021

B
Minnesota 3/9/2021

B
West Virginia 3/9/2021

B
Mississippi 3/9/2021

B
Wisconsin 3/9/2021

B
Missouri 3/9/2021

B
Wyoming 3/9/2021

B
Montana 3/9/2021

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

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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)
10 S Dearborn St Floor 08, Chicago, IL 60603
Registered with this firm since 3/9/2021

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
10 S Dearborn St Floor 08, Chicago, IL 60603
Registered with this firm since 3/9/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/16/2018 - 03/02/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHICAGO, IL
B
05/16/2018 - 03/02/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHICAGO, IL
IA
12/02/2015 - 01/17/2018 WILLIAM BLAIR & COMPANY L.L.C. (CRD#:1252) CHICAGO, IL
B
09/16/2015 - 01/17/2018 WILLIAM BLAIR (CRD#:1252) CHICAGO, IL
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B
Broker
IA
Investment Adviser
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.