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NICHOLAS JOSEPH ROSA
NICHOLAS ROSA, Nick Joseph Rosa
CRD#: 6850022
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 2235 NORTH MILWAUKEE AVENUE
CHICAGO, IL 60647
CHICAGO, IL 60647
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Disclosures
7
Years of Experience
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State Registrations
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Arizona 7/24/2020
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Kansas 6/16/2021
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California 10/22/2020
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Maryland 8/7/2024
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Florida 7/12/2022
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Michigan 1/21/2021
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Georgia 3/14/2022
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North Carolina 1/8/2021
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Hawaii 8/28/2020
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Texas 6/3/2021
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Illinois 8/19/2019
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Texas 6/15/2021
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Illinois 8/19/2019
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Wyoming 2/12/2025
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Indiana 2/12/2025
SRO Registrations
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Registered with this firm since 8/19/2019
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Registered with this firm since 8/19/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/01/2017 - 07/31/2019 | NILES, IL | |
B | 10/05/2017 - 07/31/2019 | NILES, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.