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Detailed Report
Mark Moroni
MARK EDWARD MORONI
CRD#: 6989679
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 201 S. Lake Ave
Floor 7
Pasadena, CA 91101
Registration History
2018201920202021202220232024202520262 FIRMS2021 - 2021 (<1 year)2 FIRMS2023 - Present (1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2018 - 2020 (1 year)IAMAINSTREAM CAPITAL MANAGEMENT (CRD# 297145)2022 - 2023 (1 year)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2019 - 2020 (1 year)
License(s)

State Registrations

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Alabama 5/4/2023
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Nebraska 5/4/2023
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Alaska 5/4/2023
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Nevada 5/4/2023
B
Arizona 5/4/2023
B
New Hampshire 5/4/2023
B
Arkansas 5/4/2023
B
New Jersey 5/4/2023
B
California 5/4/2023
B
New Mexico 5/4/2023
IA
California 5/4/2023
B
New York 5/4/2023
B
Colorado 5/4/2023
B
North Carolina 5/4/2023
B
Connecticut 5/4/2023
B
North Dakota 5/4/2023
B
Delaware 5/4/2023
B
Ohio 5/4/2023
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District of Columbia 5/4/2023
B
Oklahoma 5/4/2023
B
Florida 5/4/2023
B
Oregon 5/4/2023
B
Georgia 5/4/2023
B
Pennsylvania 5/4/2023
B
Hawaii 5/4/2023
B
Puerto Rico 5/4/2023
B
Idaho 5/4/2023
B
Rhode Island 5/4/2023
B
Illinois 5/4/2023
B
South Carolina 5/4/2023
B
Indiana 5/4/2023
B
South Dakota 5/4/2023
B
Iowa 5/4/2023
B
Tennessee 5/4/2023
B
Kansas 5/4/2023
B
Texas 5/4/2023
B
Kentucky 5/4/2023
IA
Texas 5/4/2023
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Louisiana 5/4/2023
B
Utah 5/4/2023
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Maine 5/4/2023
B
Vermont 5/4/2023
B
Maryland 5/4/2023
B
Virgin Islands 5/4/2023
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Massachusetts 5/4/2023
B
Virginia 5/4/2023
B
Michigan 5/4/2023
B
Washington 5/4/2023
B
Minnesota 5/4/2023
B
West Virginia 5/4/2023
B
Mississippi 5/4/2023
B
Wisconsin 5/4/2023
B
Missouri 5/4/2023
B
Wyoming 5/4/2023
B
Montana 5/4/2023

SRO Registrations

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 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)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
201 S. Lake Ave Floor 7, Pasadena, CA 91101
Registered with this firm since 5/4/2023
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J.P. MORGAN SECURITIES LLC (CRD#:79)
201 S. Lake Ave Floor 7, Pasadena, CA 91101
Registered with this firm since 5/4/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
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 03/04/2022 - 06/22/2023 MAINSTREAM CAPITAL MANAGEMENT (CRD#:297145) LOS ANGELES, CA
IA
 01/05/2021 - 07/09/2021 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Los Angeles, CA
B
 01/05/2021 - 07/09/2021 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) LOS ANGELES, CA
IA
 02/14/2019 - 07/13/2020 PARK AVENUE SECURITIES LLC (CRD#:46173) SAN RAMON, CA
B
 09/26/2018 - 07/13/2020 PARK AVENUE SECURITIES LLC (CRD#:46173) SAN RAMON, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.