Aristides A. Orozco
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.
Aristides Adalberto Orozco, who also goes by Aristides Orozco, Tito Orozco, Aristides A Orozco, Tito A Orozco, was a registered financial professional .
Aristides is a previously registered financial professional and started their career in finance in 1989. Aristides had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2017 - January 25, 2019
J.P. MORGAN SECURITIES LLC
April 5, 2017 - January 25, 2019
J.P. MORGAN SECURITIES LLC
February 4, 2016 - March 20, 2017
MULTI-BANK SECURITIES, INC.
September 24, 2013 - December 2, 2015
BROWNSTONE INVESTMENT GROUP, LLC
January 24, 2013 - June 6, 2013
CASTLEOAK SECURITIES, LP
April 5, 2011 - January 2, 2013
B. RILEY WEALTH MANAGEMENT
April 4, 2011 - January 2, 2013
B. RILEY WEALTH MANAGEMENT
October 30, 2009 - April 5, 2011
WEDBUSH SECURITIES INC.
October 30, 2009 - April 5, 2011
WEDBUSH SECURITIES INC.
March 31, 2008 - September 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 2008 - September 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
June 9, 2006 - March 6, 2007
SEATTLE-NORTHWEST SECURITIES CORPORATION
September 6, 2005 - May 23, 2006
INTERCAPITAL SECURITIES LLC
December 20, 2001 - August 15, 2005
ADVEST, INC.
October 9, 1994 - December 6, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 13, 1991 - September 1, 1994
HSBC SECURITIES (USA) INC.
August 11, 1989 - May 16, 1991
J.P. MORGAN SECURITIES 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.
