Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH ANDREW GARCIA
JOSEPH A GARCIA, JOSEPH GARCIA
CRD#: 6539847
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 600 Travis St
Floor 09
Houston, TX 77002
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2022 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2020 - Present (4 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2017 (1 year)
License(s)

State Registrations

B
New York 5/5/2020
IA
Texas 2/8/2022
B
Texas 5/5/2020

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)
600 Travis St Floor 09, Houston, TX 77002
Houston, TX
Registered with this firm since 2/8/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
600 Travis St Floor 09, Houston, TX 77002
Houston, TX
Registered with this firm since 5/5/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/01/2019 - 06/09/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) KINGWOOD, TX
B
 04/26/2019 - 06/09/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) KINGWOOD, TX
B
 10/23/2015 - 08/08/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) HUMBLE, 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.