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John Roberts
John Lathan Roberts
CRD#: 7053191
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 11242 Kingston Pike , TN
Farragut, TN 37934
Farragut, TN 37934
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Disclosures
5
Years of Experience
View By:
State Registrations
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California 8/7/2024
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New York 11/4/2024
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Florida 8/9/2024
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Tennessee 4/17/2024
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Georgia 11/5/2024
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Tennessee 4/17/2024
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Illinois 5/7/2024
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West Virginia 1/7/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 4/17/2024
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Registered with this firm since 4/17/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/30/2020 - 04/12/2024 | OAK RIDGE, TN | |
B | 06/08/2020 - 04/12/2024 | OAK RIDGE, TN | |
B | 03/02/2020 - 06/16/2020 | KNOXVILLE, TN |
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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.
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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.