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Detailed Report
Susan Denise Richards-Dresback
Susan Denise Oglesby, Susan Denise Richards, Susan D Richards-Dresback, Susan Denise Shoup
CRD#: 6602095
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 531 E. Washington St
SPRINGFIELD, IL 62701
Registration History
20162017201820192020202120222023202420252026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2019 - Present (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - Present (6 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2016 - 2018 (1 year)
Disclosure(s)
View By:
11/27/2017
Financial
Final
License(s)

State Registrations

B
Alabama 4/4/2019
B
Nebraska 1/31/2023
B
Alaska 10/25/2021
B
Nevada 4/27/2020
B
Arizona 4/4/2019
B
New Hampshire 4/22/2020
B
Arkansas 4/4/2019
B
New Jersey 4/21/2020
B
California 7/9/2018
B
New Mexico 1/30/2023
B
Colorado 4/4/2019
B
New York 4/4/2019
B
Connecticut 4/5/2019
B
North Carolina 7/12/2018
B
District of Columbia 5/15/2024
B
Ohio 4/4/2019
B
Florida 7/10/2018
B
Oklahoma 4/4/2019
B
Georgia 4/5/2019
B
Oregon 8/19/2019
B
Hawaii 10/22/2021
B
Pennsylvania 4/9/2019
B
Illinois 7/10/2018
B
Puerto Rico 10/24/2023
IA
Illinois 4/16/2019
B
South Carolina 8/31/2020
B
Indiana 4/4/2019
B
South Dakota 10/22/2021
B
Iowa 4/5/2019
B
Tennessee 4/5/2019
B
Kansas 4/9/2019
B
Texas 7/10/2018
B
Kentucky 10/25/2021
IA
Texas 4/10/2019
B
Louisiana 1/30/2023
B
Utah 1/30/2023
B
Maine 1/30/2023
B
Vermont 1/30/2023
B
Maryland 4/10/2019
B
Virgin Islands 1/31/2023
B
Massachusetts 4/21/2020
B
Virginia 4/5/2019
B
Michigan 4/8/2019
B
Washington 4/4/2019
B
Minnesota 4/15/2019
B
Wisconsin 4/5/2019
B
Missouri 4/8/2019
B
Wyoming 1/31/2023
B
Montana 4/4/2019

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)
531 E. Washington St, SPRINGFIELD, IL 62701
2801 GREENBRIAR, SPRINGFIELD, IL 62704
Registered with this firm since 4/10/2019
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
531 E. Washington St, SPRINGFIELD, IL 62701
2801 GREENBRIAR, SPRINGFIELD, IL 62704
Registered with this firm since 7/9/2018
Previous Registration(s)
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B
 05/03/2016 - 04/19/2018 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) COLORADO SPRINGS, CO
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.