Jeffrey W. Anderson
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.
Jeffrey William Anderson, who also goes by Jeff Anderson, Jeffrey W Anderson, Jeffrey William Anderson, Jeffrey Anderson, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, 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
September 21, 2023 - September 24, 2024
J.P. MORGAN SECURITIES LLC
September 1, 2023 - September 24, 2024
J.P. MORGAN SECURITIES LLC
July 15, 2011 - September 20, 2023
CALTON & ASSOCIATES, INC.
July 15, 2011 - September 20, 2023
CALTON & ASSOCIATES, INC.
January 2, 2009 - August 10, 2011
REGAL ADVISORY SERVICES, INC.
January 2, 2009 - August 10, 2011
REGAL SECURITIES, INC.
October 15, 2008 - November 26, 2008
SYNERGY INVESTMENT GROUP, LLC
October 15, 2008 - November 26, 2008
SYNERGY INVESTMENT GROUP, LLC
February 1, 2005 - February 7, 2008
CETERA WEALTH SERVICES, LLC
November 20, 2002 - February 7, 2008
CETERA WEALTH SERVICES, LLC
March 10, 1998 - November 14, 2002
USALLIANZ SECURITIES, INC.
November 5, 1996 - January 12, 1998
VOYA FINANCIAL ADVISORS, INC.
February 11, 1992 - December 31, 1994
MARINER FINANCIAL SERVICES, INC.
May 15, 1990 - February 19, 1992
KAVANAUGH SECURITIES, INC.
March 6, 1990 - May 25, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 6, 1990 - May 25, 1990
OSAIC FA, 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.
