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Detailed Report
James L. Jacob
JAMES LURTON JACOB
CRD#: 712062
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 875 15th Street NW
7th Floor
Washington, DC 20005
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - 2010 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - Present (11 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2010 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1989 - 2009 (20 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1987 - 1989 (1 year)BJOHNSTON, LEMON & CO. INCORPORATED (CRD# 473)1980 - 1987 (7 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2010 - 2011 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2009 (15 years)
License(s)

State Registrations

B
Alabama 2/12/2010
B
Nebraska 2/12/2010
B
Alaska 2/12/2010
B
Nevada 2/12/2010
B
Arizona 2/12/2010
B
New Hampshire 2/12/2010
B
Arkansas 2/12/2010
B
New Jersey 2/12/2010
B
California 2/12/2010
B
New Mexico 2/12/2010
B
Colorado 2/12/2010
B
New York 2/12/2010
B
Connecticut 2/12/2010
B
North Carolina 2/12/2010
B
Delaware 2/12/2010
IA
North Carolina 5/15/2013
B
District of Columbia 2/12/2010
B
North Dakota 2/12/2010
IA
District of Columbia 6/19/2018
B
Ohio 2/12/2010
B
Florida 2/12/2010
IA
Ohio 8/13/2015
B
Georgia 2/12/2010
B
Oklahoma 2/12/2010
B
Hawaii 2/12/2010
B
Oregon 2/12/2010
B
Idaho 2/12/2010
B
Pennsylvania 2/12/2010
B
Illinois 2/12/2010
B
Puerto Rico 2/12/2010
B
Indiana 2/12/2010
B
Rhode Island 2/12/2010
B
Iowa 2/12/2010
B
South Carolina 2/12/2010
B
Kansas 2/12/2010
B
South Dakota 2/12/2010
B
Kentucky 2/12/2010
B
Tennessee 2/12/2010
B
Louisiana 2/12/2010
B
Texas 2/12/2010
IA
Louisiana 8/14/2015
IA
Texas 8/13/2015
B
Maine 2/12/2010
B
Utah 2/12/2010
B
Maryland 2/12/2010
B
Vermont 2/12/2010
B
Massachusetts 2/12/2010
B
Virginia 2/12/2010
B
Michigan 2/12/2010
IA
Virginia 11/21/2017
B
Minnesota 2/12/2010
B
Washington 2/12/2010
B
Mississippi 2/12/2010
B
West Virginia 2/12/2010
B
Missouri 2/12/2010
B
Wisconsin 2/12/2010
B
Montana 2/12/2010
B
Wyoming 2/12/2010

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

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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)
875 15th Street NW 7th Floor, Washington, DC 20005
Alexandria, VA
Registered with this firm since 5/15/2013
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
875 15th Street NW 7th Floor, Washington, DC 20005
Alexandria, VA
Registered with this firm since 2/12/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/23/2010 - 12/31/2011 J.P. MORGAN SECURITIES LLC (CRD#:79) Washington, DC
IA
 06/01/2009 - 03/08/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) WASHINGTON, DC
B
 06/01/2009 - 03/08/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) WASHINGTON, DC
IA
 01/21/1994 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
B
 05/25/1989 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
B
 09/04/1987 - 08/24/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
 07/23/1980 - 09/09/1987 JOHNSTON, LEMON & CO. INCORPORATED (CRD#:473)
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.