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Detailed Report
Roman Rodriguez
CRD#: 6572394
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 9055 Reseda Blvd, Floor 02
Northridge, CA 91324
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - Present (4 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2015 - 2019 (3 years)
License(s)

State Registrations

B
Alabama 12/17/2020
B
Nebraska 12/17/2020
B
Alaska 12/17/2020
B
Nevada 12/17/2020
B
Arizona 12/17/2020
B
New Hampshire 12/17/2020
B
Arkansas 12/17/2020
B
New Jersey 12/17/2020
B
California 12/17/2020
B
New Mexico 12/17/2020
IA
California 12/17/2020
B
New York 12/17/2020
B
Colorado 12/17/2020
B
North Carolina 12/17/2020
B
Connecticut 12/17/2020
B
North Dakota 12/17/2020
B
Delaware 12/17/2020
B
Ohio 12/18/2020
B
District of Columbia 12/17/2020
B
Oklahoma 12/17/2020
B
Florida 12/17/2020
B
Oregon 12/17/2020
B
Georgia 12/17/2020
B
Pennsylvania 12/17/2020
B
Hawaii 12/17/2020
B
Puerto Rico 12/17/2020
B
Idaho 12/17/2020
B
Rhode Island 12/17/2020
B
Illinois 12/17/2020
B
South Carolina 12/17/2020
B
Indiana 12/17/2020
B
South Dakota 12/17/2020
B
Iowa 12/17/2020
B
Tennessee 12/17/2020
B
Kansas 12/17/2020
B
Texas 12/17/2020
B
Kentucky 12/17/2020
IA
Texas 12/23/2020
B
Louisiana 12/17/2020
B
Utah 12/17/2020
B
Maine 12/17/2020
B
Vermont 12/17/2020
B
Maryland 12/17/2020
B
Virgin Islands 12/17/2020
B
Massachusetts 12/17/2020
B
Virginia 12/17/2020
B
Michigan 12/17/2020
B
Washington 12/17/2020
B
Minnesota 12/17/2020
B
West Virginia 12/17/2020
B
Mississippi 12/17/2020
B
Wisconsin 12/17/2020
B
Missouri 12/17/2020
B
Wyoming 12/17/2020
B
Montana 12/17/2020

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)
9055 Reseda Blvd, Floor 02, Northridge, CA 91324
Registered with this firm since 12/17/2020
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
9055 Reseda Blvd, Floor 02, Northridge, CA 91324
Registered with this firm since 12/17/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/14/2018 - 11/27/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 11/27/2018 - 11/27/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 11/23/2015 - 01/02/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
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.