Janet Nelson
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.
Janet Nelson was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1991. Janet had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 9, Series 10 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
April 7, 2014 - April 18, 2014
J.P. MORGAN SECURITIES LLC
August 2, 2005 - December 31, 2008
J.P. MORGAN SECURITIES LLC
August 2, 2005 - January 22, 2016
J.P. MORGAN CLEARING CORP.
September 12, 2001 - January 28, 2005
WEXFORD CLEARING SERVICES, LLC
March 13, 2001 - July 14, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 27, 1999 - December 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 8, 1998 - August 20, 1999
MONY SECURITIES CORPORATION
May 28, 1997 - January 23, 1998
BLACKROCK INVESTMENTS, LLC
January 29, 1997 - May 7, 1997
FISERV INVESTOR SERVICES, INC.
November 8, 1996 - January 27, 1997
CONSECO SECURITIES, INC.
April 28, 1995 - October 7, 1996
SALOMON BROTHERS INC.
July 13, 1994 - January 19, 1995
KIDDER, PEABODY & CO. INCORPORATED
July 31, 1993 - May 16, 1994
CITIGROUP GLOBAL MARKETS INC.
October 18, 1991 - July 31, 1993
LEHMAN BROTHERS 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.
