Eric A. Porter
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.
Eric Alan Porter, CLU®, who also goes by Eric Porter, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1987. Eric had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - September 2, 2024
J.P. MORGAN SECURITIES LLC
January 30, 2019 - September 2, 2024
J.P. MORGAN SECURITIES LLC
September 18, 2017 - January 14, 2019
EQUITABLE ADVISORS, LLC
August 17, 2017 - January 14, 2019
EQUITABLE ADVISORS, LLC
March 3, 2009 - April 29, 2011
PRUCO SECURITIES, LLC.
July 6, 2006 - December 31, 2008
PRUCO SECURITIES, LLC.
April 28, 2004 - June 29, 2006
PRUCO SECURITIES, LLC.
September 18, 2003 - April 29, 2011
PRUCO SECURITIES, LLC.
May 20, 2003 - November 12, 2003
SALZBURG SECURITIES, LLC
June 12, 2002 - December 3, 2002
WELLS FARGO INVESTMENTS, LLC
June 12, 2002 - December 3, 2002
WELLS FARGO INVESTMENTS, LLC
February 15, 1999 - June 27, 2001
WAMU INVESTMENTS, INC.
June 9, 1997 - February 9, 1999
GATEWAY INVESTMENT SERVICES, INC.
June 3, 1996 - May 27, 1997
TOWER SQUARE SECURITIES, INC.
August 1, 1995 - May 23, 1996
ADVANTAGE CAPITAL CORPORATION
August 15, 1994 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
October 18, 1990 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
March 9, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
November 21, 1988 - March 22, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 31, 1988 - November 26, 1988
SECURITIES WEST, INC.
August 20, 1987 - September 1, 1988
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 20, 1987 - September 1, 1988
MONY SECURITIES CORPORATION
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.
