Individual Firm
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Hernan Perez
CRD#: 7153348
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 2900 W Grand Pkwy N
Katy, TX 77449
Katy, TX 77449
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Disclosures
5
Years of Experience
View By:
State Registrations
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Alabama 11/5/2024
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New York 11/5/2024
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California 11/5/2024
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Oklahoma 9/13/2024
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Indiana 7/22/2024
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Texas 3/12/2024
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Nevada 12/4/2024
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Texas 3/12/2024
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 3/12/2024
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Registered with this firm since 3/12/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/02/2022 - 02/15/2024 | HOUSTON, TX | |
B | 09/30/2022 - 02/15/2024 | HOUSTON, TX | |
B | 04/01/2020 - 08/21/2022 | SUGAR LAND, TX | |
B | 08/21/2019 - 02/21/2020 | HOUSTON, TX |
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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.