Jeffrey A. Adler
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 Alan Adler, who also goes by Jeff Alan Adler, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 16 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2019 - January 8, 2021
J.P. MORGAN SECURITIES LLC
July 11, 2016 - September 5, 2018
MML DISTRIBUTORS, LLC
October 24, 2014 - September 15, 2015
MML INVESTORS SERVICES, LLC
June 25, 2012 - September 2, 2014
NYLIFE SECURITIES LLC
May 29, 2007 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
February 22, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 26, 2005 - January 3, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 20, 2004 - June 24, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 9, 2003 - June 16, 2003
CHASE INVESTMENT SERVICES CORP.
May 1, 2002 - January 31, 2003
WAMU INVESTMENTS, INC.
March 12, 1997 - May 1, 2002
DIME SECURITIES, INC.
December 14, 1994 - September 29, 1995
GRIFFIN FINANCIAL SERVICES
January 1, 1994 - December 5, 1994
LEGEND EQUITIES CORPORATION
September 2, 1993 - January 1, 1994
LEGEND CAPITAL CORPORATION
October 7, 1992 - June 18, 1993
FLEET ENTERPRISES, INC.
August 16, 1991 - September 29, 1992
MML INVESTORS SERVICES, LLC
March 21, 1990 - June 11, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 21, 1990 - June 11, 1991
PRUCO 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
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationSeries 6TO
Date: 9/19/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
