Theresa Leister
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.
Theresa Leister, who also goes by Theresa Glennon, Theresa Ann Leister, Theresa Ann Linton, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1983. Theresa had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 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 - November 5, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
August 22, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 10, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 18, 2005 - October 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 18, 2005 - December 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 3, 2003 - October 27, 2004
CHASE INVESTMENT SERVICES CORP.
June 5, 2003 - July 17, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 13, 2003 - July 17, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 21, 2003 - December 31, 2004
DONALD L. LEBOWITZ & ASSOC., LTD.
June 16, 1992 - March 19, 2001
BISYS SHELF B/D (1), INC.
August 10, 1990 - May 7, 1992
CHASE INVESTMENT SERVICES CORP.
January 15, 1988 - November 29, 1988
PRUDENTIAL EQUITY GROUP, LLC
February 4, 1986 - January 21, 1988
DOMIK CORP.
March 5, 1985 - February 8, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 16, 1983 - May 14, 1984
SIGNATOR INVESTORS, INC.
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.
