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J.P. MORGAN SECURITIES LLC - FINRA

BrokerCheck Report MORGAN SECURITIES LLC. CRD# 79. Section Title Page(s). Report Summary 1. firm Profile 2-9. firm History 10. firm Operations 11 - 53. Disclosure Events 54. i Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you're dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. About BrokerCheck . BrokerCheck offers information on all current, and many former, registered SECURITIES brokers, and all current and former registered SECURITIES firms. FINRA strongly encourages investors to use BrokerCheck to check the background of SECURITIES brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them. What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards.

Firm Profile This firm is classified as a limited liability company. This firm was formed in Delaware on 08/12/1985. Its fiscal year ends in December. Firm History Information relating to the brokerage firm's history such as other business names and successions (e.g., mergers, acquisitions) can be found in the detailed report. Firm Operations

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Transcription of J.P. MORGAN SECURITIES LLC - FINRA

1 BrokerCheck Report MORGAN SECURITIES LLC. CRD# 79. Section Title Page(s). Report Summary 1. firm Profile 2-9. firm History 10. firm Operations 11 - 53. Disclosure Events 54. i Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you're dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. About BrokerCheck . BrokerCheck offers information on all current, and many former, registered SECURITIES brokers, and all current and former registered SECURITIES firms. FINRA strongly encourages investors to use BrokerCheck to check the background of SECURITIES brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them. What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards.

2 BrokerCheck reports for brokerage firms include information on a firm 's profile, history, and operations, as well as many of the Using this site/information means same disclosure events mentioned above. that you accept the FINRA . Please note that the information contained in a BrokerCheck report may include pending actions or BrokerCheck Terms and allegations that may be contested, unresolved or unproven. In the end, these actions or allegations may be Conditions. A complete list of resolved in favor of the broker or brokerage firm , or concluded through a negotiated settlement with no Terms and Conditions can be admission or finding of wrongdoing. found at Where did this information come from? The information contained in BrokerCheck comes from FINRA 's Central Registration Depository, or CRD and is a combination of: o information FINRA and/or the SECURITIES and Exchange Commission (SEC) require brokers and brokerage firms to submit as part of the registration and licensing process, and For additional information about o information that regulators report regarding disciplinary actions or allegations against firms or brokers.

3 The contents of this report, please How current is this information? refer to the User Guidance or It Generally, active brokerage firms and brokers are required to update their professional and disciplinary provides a glossary of terms and a information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokers list of frequently asked questions, and regulators is available in BrokerCheck the next business day. as well as additional resources. What if I want to check the background of an investment adviser firm or investment adviser For more information about representative? FINRA , visit To check the background of an investment adviser firm or representative, you can search for the firm or individual in BrokerCheck. If your search is successful, click on the link provided to view the available licensing and registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website at In the alternative, you may search the IAPD website directly or contact your state SECURITIES regulator at Are there other resources I can use to check the background of investment professionals?

4 FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state SECURITIES regulator can help you research brokers and investment adviser representatives doing business in your state.. Thank you for using FINRA BrokerCheck. User Guidance MORGAN SECURITIES LLC Report Summary for this firm CRD# 79. SEC# 8-35008 This report summary provides an overview of the brokerage firm . Additional information for this firm can be found in the detailed report. Main Office Location firm Profile Disclosure Events 383 MADISON AVENUE This firm is classified as a limited liability company. NEW YORK, NY 10179 This firm was formed in Delaware on 08/12/1985. Brokerage firms are required to disclose certain Regulated by FINRA New York Office Its fiscal year ends in December. criminal matters, regulatory actions, civil judicial Mailing Address proceedings and financial matters in which the firm or firm History one of its control affiliates has been involved.

5 1111 POLARIS PKWY. FLOOR 2J Information relating to the brokerage firm 's history COLUMBUS, OH 43240 Are there events disclosed about this firm ? Yes such as other business names and successions ( , mergers, acquisitions) can be found in the Business Telephone Number detailed report. The following types of disclosures have been 212-272-2000 reported: firm Operations Type Count This firm is registered with: This firm is a brokerage firm and an investment Regulatory Event 353. adviser firm . For more information about the SEC Civil Event 9. investment adviser firms, visit the SEC's 25 Self-Regulatory Organizations Investment Adviser Public Disclosure website at: Arbitration 142. 53 states and territories Is this brokerage firm currently suspended with any regulator? No This firm conducts 24 types of businesses. This firm is affiliated with financial or investment institutions. This firm does not have referral or financial arrangements with other brokers or dealers. 2022 FINRA .

6 All rights reserved. Report about MORGAN SECURITIES LLC 1. User Guidance firm Profile This firm is classified as a limited liability company. This firm was formed in Delaware on 08/12/1985. Its fiscal year ends in December. firm Names and Locations This section provides the brokerage firm 's full legal name, "Doing Business As" name, business and mailing addresses, telephone number, and any alternate name by which the firm conducts business and where such name is used. MORGAN SECURITIES LLC. Doing business as MORGAN SECURITIES LLC. CRD# 79. SEC# 8-35008. Main Office Location 383 MADISON AVENUE. NEW YORK, NY 10179. Regulated by FINRA New York Office Mailing Address 1111 POLARIS PKWY. FLOOR 2J. COLUMBUS, OH 43240. Business Telephone Number 212-272-2000. 2022 FINRA . All rights reserved. Report about MORGAN SECURITIES LLC 2. User Guidance firm Profile This section provides information relating to all direct owners and executive officers of the brokerage firm . Direct Owners and Executive Officers Legal Name & CRD# (if any): MORGAN BROKER-DEALER HOLDINGS INC.

7 Is this a domestic or foreign Domestic Entity entity or an individual? Position STOCKHOLDER. Position Start Date 09/2010. Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): BELL, JEREMY S. 4268755. Is this a domestic or foreign Individual entity or an individual? Position CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER. Position Start Date 11/2019. Percentage of Ownership Less than 5%. Does this owner direct the No management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): BISESI, BRIAN J. 3090554. Is this a domestic or foreign Individual entity or an individual? Position ELECTED MANAGER AND MEMBER. Position Start Date 02/2022. Percentage of Ownership Less than 5%. 2022 FINRA . All rights reserved. Report about MORGAN SECURITIES LLC 3. User Guidance firm Profile Direct Owners and Executive Officers (continued).

8 Percentage of Ownership Less than 5%. Does this owner direct the Yes management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): COLLINS, JAMES MICHAEL. 2725065. Is this a domestic or foreign Individual entity or an individual? Position CHIEF FINANCIAL OFFICER. Position Start Date 06/2008. Percentage of Ownership Less than 5%. Does this owner direct the No management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): DEMPSEY, PATRICK PAUL. 2830362. Is this a domestic or foreign Individual entity or an individual? Position TREASURER. Position Start Date 08/2013. Percentage of Ownership Less than 5%. Does this owner direct the No management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): DUGGER, CHRISTINA B. 2022 FINRA . All rights reserved. 5599227. Report about MORGAN SECURITIES LLC 4. User Guidance firm Profile Direct Owners and Executive Officers (continued).

9 5599227. Is this a domestic or foreign Individual entity or an individual? Position CHIEF COMPLIANCE OFFICER - BROKER DEALER. Position Start Date 11/2019. Percentage of Ownership Less than 5%. Does this owner direct the No management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): FREILICH, WILLIAM HOWARD. 2203801. Is this a domestic or foreign Individual entity or an individual? Position CHIEF LEGAL OFFICER. Position Start Date 05/2013. Percentage of Ownership Less than 5%. Does this owner direct the No management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): JURY, CLAUDIA. 6403910. Is this a domestic or foreign Individual entity or an individual? Position ELECTED MANAGER AND MEMBER. Position Start Date 02/2020. Percentage of Ownership Less than 5%. Does this owner direct the Yes management or policies of 2022 FINRA . All rights reserved. Report about MORGAN SECURITIES LLC 5. the firm ?

10 User Guidance firm Profile Direct Owners and Executive Officers (continued). Does this owner direct the Yes management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): KEOUGH, KELLI A. 4653791. Is this a domestic or foreign Individual entity or an individual? Position ELECTED MANAGER AND MEMBER. Position Start Date 08/2021. Percentage of Ownership Less than 5%. Does this owner direct the Yes management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): KLION, ROGER. 5082261. Is this a domestic or foreign Individual entity or an individual? Position CHIEF OPERATING OFFICER. Position Start Date 10/2020. Percentage of Ownership Less than 5%. Does this owner direct the No management or policies of the firm ? Is this a public reporting No company? Legal Name & CRD# (if any): SIEG, WILLIAM PHILIP. 1066159. Is thisFINRA. 2022 a domestic All rights or foreignReport about reserved. Individual MORGAN SECURITIES LLC 6.


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