William N. Baros
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.
William N Baros, who also goes by William Nicholas Baros, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2002 - May 6, 2009
J.P. MORGAN CLEARING CORP.
July 9, 1997 - November 16, 2020
J.P. MORGAN SECURITIES LLC
April 27, 1990 - April 30, 1997
MORGAN STANLEY & CO. LLC
March 15, 1989 - April 27, 1990
J.P. MORGAN SECURITIES LLC
September 14, 1987 - March 13, 1989
HERMITAGE CAPITAL CORPORATION
March 5, 1987 - September 24, 1987
BLACKSTOCK & LANDSTREET, INC.
March 19, 1986 - March 10, 1987
J.P. MORGAN SECURITIES LLC
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
Series 7TO
Date: 7/1/2022
General Securities Representative ExaminationSeries 79TO
Date: 7/1/2022
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 7/1/2022
Securities Trader ExamSeries 55
Date: 2/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN CLEARING CORP.
CRD#: 28432 / SEC#: 801-61542, 8-43724
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | SHAREHOLDER | 79 |
| BERNSTEIN, JEFFREY CARL | DIRECTOR | 1844904 |
| BRANNAN, PAUL F | DIRECTOR | 6142593 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND FINOP | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| FREILICH, WILLIAM HOWARD | CHIEF LEGAL OFFICER | 2203801 |
| HEITSENRETHER, TERESA ANN | CHAIRMAN, CHIEF EXECUTIVE OFFICER | 2722512 |
| KIRBY, PATRICK C | CHIEF OPERATING OFFICER AND DIRECTOR | 2595086 |
| LIPMAN, JEFFREY MARK | SECRETARY | 717915 |
| MCKENNA, JOHN JAMES | DIRECTOR | 2732946 |
| MINIKES, MICHAEL | DIRECTOR | 1204499 |
| PATTERSON, DAWN ANN | CHIEF COMPLIANCE OFFICER | 2862235 |
| REED, JAMIE MATTHEW | DIRECTOR | 2797383 |
Disclosures
| Regulatory Event | 38 |
| Civil Event | 1 |
| Arbitration | 28 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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