Steven P. Stallsmith
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.
Steven Paul Stallsmith, CFP®, who also goes by Steve Paul Stallsmith, Steven P Stallsmith, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2019 - March 26, 2020
J.P. MORGAN SECURITIES LLC
June 3, 2019 - March 26, 2020
J.P. MORGAN SECURITIES LLC
May 23, 2016 - April 10, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2016 - April 10, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2013 - May 12, 2016
MML INVESTORS SERVICES, LLC
August 28, 2013 - May 12, 2016
MML INVESTORS SERVICES, LLC
October 24, 2012 - August 8, 2013
J.P. MORGAN SECURITIES LLC
October 19, 2012 - August 8, 2013
J.P. MORGAN SECURITIES LLC
April 17, 2009 - October 25, 2012
MML INVESTORS SERVICES, LLC
July 27, 2007 - March 13, 2009
EQUITY SERVICES, INC.
October 20, 2005 - January 30, 2007
EQUITY SERVICES, INC.
July 30, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 30, 2001 - August 19, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 16, 2001 - June 5, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
August 5, 1998 - May 11, 2000
NATCITY INVESTMENTS, INC.
December 23, 1996 - May 11, 2000
NATCITY INSURANCE SERVICES, INC.
March 18, 1994 - December 31, 1994
TOUCHSTONE SECURITIES, INC.
April 25, 1992 - December 31, 1993
ESSEX NATIONAL SECURITIES, LLC
October 24, 1991 - March 10, 1992
DOMINION CAPITAL CORPORATION
August 4, 1988 - February 6, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
May 18, 1987 - August 17, 1988
MABON, NUGENT & CO.
May 7, 1986 - May 12, 1987
INVEST FINANCIAL CORPORATION
February 27, 1986 - May 16, 1986
F.D. ROBERTS SECURITIES, 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.
