Joselito M. Balintona
Professional summary
Joselito Miguel Balintona was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joselito Miguel Balintona, who also goes by Jay Balintona, None, was a registered financial advisor .
Joselito is a previously registered financial advisor and started their career in finance in 1991. Joselito had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2012 - July 26, 2013
J.P. MORGAN SECURITIES LLC
October 10, 2012 - July 26, 2013
J.P. MORGAN SECURITIES LLC
November 2, 2010 - October 2, 2012
TRUIST INVESTMENT SERVICES, INC.
October 25, 2010 - October 2, 2012
TRUIST INVESTMENT SERVICES, INC.
March 17, 2010 - August 3, 2010
UBS FINANCIAL SERVICES INC.
February 11, 2005 - August 3, 2010
UBS FINANCIAL SERVICES INC.
January 12, 2000 - January 27, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 2000 - February 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 1999 - January 7, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 18, 1994 - September 2, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 28, 1991 - March 29, 1994
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
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.
