Shauntel D. Dalton Leeson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shauntel D Dalton Leeson, who also goes by J Shauntel Dalton, Jolie Shauntel Dalton, Jolie Dalton, Shauntel D Dalton, Shauntel Delraie Dalton, Shauntel Delraie Dalton Leeson, Shauntel Delraie Dalton-leeson, Shauntel Dalton-leeson, Shauntel Daltonleeson, Jolie Dalton, Shauntel Delraie Dalton, Shauntel Dalton Leeson, was a registered financial professional .
Shauntel is a previously registered financial professional and started their career in finance in 1981. Shauntel had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - June 5, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 5, 2013
J.P. MORGAN SECURITIES LLC
July 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 21, 2010 - January 25, 2010
BREWER INVESTMENT ADVISORS LLC
May 18, 2009 - January 25, 2010
BREWER FINANCIAL SERVICES, LLC
December 4, 1997 - April 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
August 31, 1995 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 31, 1995 - April 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 1994 - March 29, 1995
EDWARD JONES
September 9, 1993 - January 11, 1994
EURO-ATLANTIC SECURITIES INC.
July 11, 1983 - October 17, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 31, 1981 - September 10, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
