Richelle B. Colbert
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.
Richelle Backus Colbert, who also goes by Richelle Louise Backus, Richelle Louise Colbert, Richelle Louise Horn, Richelle Horn, Shelly Horn, Richelle Backus Lovell, was a registered financial professional .
Richelle is a previously registered financial professional and started their career in finance in 1986. Richelle had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 22 and Series 8 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 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
February 26, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 26, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 18, 2008 - December 18, 2008
COLONIAL ASSET MANAGEMENT INC
July 10, 2008 - December 5, 2008
COLONIAL BROKERAGE, INC.
April 25, 2003 - May 19, 2008
CHASE INVESTMENT SERVICES CORP.
April 25, 2003 - May 19, 2008
CHASE INVESTMENT SERVICES CORP.
January 15, 2002 - October 8, 2002
CHASE INVESTMENT SERVICES CORP.
January 15, 2002 - October 8, 2002
CHASE INVESTMENT SERVICES CORP.
February 5, 1993 - November 23, 2001
FIDELITY BROKERAGE SERVICES LLC
August 2, 1990 - January 18, 1993
DOMINION CAPITAL CORPORATION
August 31, 1988 - May 6, 1989
INVEST FINANCIAL CORPORATION
January 14, 1987 - July 19, 1988
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 23, 1986 - December 19, 1986
GRANADA FINANCIAL SERVICES, 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
Series 8
Date: 1/12/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
