Stephen James Faller
Professional Summary
Stephen James Faller was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1983 - 2008. Stephen had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CHASE H&Q | JPMORGAN H&Q | JPMORGAN CHASE | JPMORGAN & CO. | JPMORGAN | JP MORGAN PRIVATE BANK | J.P. MORGAN SECURITIES INC. | J. P. MORGAN SECURITIES INC. | CHEMICAL SECURITIES, INC. | CHASE SECURITIES INC.
Contact Information
Established
Delaware since 09/10/1986Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN SECURITIES HOLDINGS LLC | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | — |
| BLACK, STEVEN DAVIS | CEO, CHAIRPERSON, DIRECTOR, MANAGING DIRECTOR | 801694 |
| BLESER, PHILIP FRANCIS | DIRECTOR | 4506044 |
| BRAUNSTEIN, DOUGLAS LEE | DIRECTOR AND MANAGING DIRECTOR | 1542814 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND SR. MANAGING DIRECTOR | 2725065 |
| ERDOES, MARY ELIZABETH | DIRECTOR | 2502095 |
| FITZGERALD, LISA JOAN | TREASURER AND MANAGING DIRECTOR | 1542376 |
| GENOVA, DIANE M | CHIEF LEGAL OFFICER AND MANAGING DIRECTOR | 5558897 |
| HERNANDEZ, CARLOS M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR | 2647255 |
| HORAN, ANTHONY JAMES | SECRETARY AND SR. VICE PRESIDENT | 1970798 |
| JOHNSON, GREGORY JUDE | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | 2611617 |
| SULLIVAN, MARGARET MARY | DIRECTOR, CHIEF OPERATIONS OFFICER, EXECUTIVE DIRECTOR | 1940830 |
Disclosures
Regulatory Event
103Civil Event
3Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1983About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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