Alfonso R. Laos
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.
Alfonso R Laos, who also goes by Alfonso Rendon Laos Jr, was a registered financial professional .
Alfonso is a previously registered financial professional and started their career in finance in 1985. Alfonso had worked at 8 firms and has passed the Series 66, 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 - February 27, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 27, 2013
J.P. MORGAN SECURITIES LLC
February 4, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 4, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 18, 2006 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 18, 2006 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 2006 - November 27, 2006
CETERA INVESTMENT SERVICES LLC
May 12, 2006 - November 27, 2006
CETERA INVESTMENT SERVICES LLC
November 11, 2002 - May 12, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 7, 2001 - May 12, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 1998 - January 4, 2001
CAL FED INVESTMENTS
November 21, 1997 - November 14, 1998
GLENFED BROKERAGE SERVICES
July 14, 1988 - August 9, 1988
WADDELL & REED
January 9, 1985 - March 26, 1985
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.
