Denise M. Mcgann
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.
Denise Marie Mcgann, who also goes by Denise Walsh Mcgann, Denise Marie Mcgannwalsh, Denece Walsh, Denise Marie Walsh, Denise Walsh, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1984. Denise had worked at 9 firms and has passed the Series 63 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
June 11, 2009 - May 15, 2012
J.P. MORGAN SECURITIES LLC
March 19, 2009 - July 24, 2014
J.P. MORGAN SECURITIES LLC
August 19, 2008 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2006 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2004 - September 8, 2006
J.P. MORGAN SECURITIES INC.
September 21, 1999 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
October 26, 1993 - June 1, 1998
CITICORP SECURITIES, INC.
July 6, 1993 - September 22, 1993
MORGAN STANLEY & CO. LLC
March 11, 1992 - September 28, 1993
BANC ONE CAPITAL MARKETS, INC.
July 9, 1990 - November 13, 1990
BANC ONE CAPITAL MARKETS, INC.
January 12, 1990 - June 8, 1990
PERSHING LLC
April 21, 1989 - June 21, 1989
KIDDER, PEABODY & CO. INCORPORATED
May 22, 1984 - April 6, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
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.
