Leslie A. Scheppegrell
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.
Leslie Ann Scheppegrell, who also goes by Leslie A Johnson, Leslie Ann Johnson, Leslie Johnson, Leslie A Nevel, Leslie Ann Nevel, Leslie Nevel, Leslie A Pike, Leslie Ann Pike, Leslie Pike, Leslie A Scheppegrell, Leslie Scheppegrell, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1992. Leslie had worked at 13 firms and has passed the Series 63, SIE 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
June 22, 2018 - October 25, 2018
J.P. MORGAN SECURITIES LLC
October 18, 2016 - December 9, 2016
VOYA FINANCIAL ADVISORS, INC.
September 12, 2016 - September 29, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
August 24, 2015 - September 7, 2016
NYLIFE SECURITIES LLC
October 24, 2012 - October 30, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
September 11, 2003 - July 21, 2004
METROPOLITAN LIFE INSURANCE COMPANY
September 11, 2003 - July 21, 2004
MSI FINANCIAL SERVICES, INC.
September 11, 2002 - September 18, 2003
SIGNATOR FINANCIAL SERVICES, INC.
November 23, 1999 - August 30, 2002
CETERA WEALTH SERVICES, LLC
April 16, 1996 - December 8, 1999
SIGNATOR FINANCIAL SERVICES, INC.
August 31, 1994 - April 16, 1996
SUNAMERICA SECURITIES, INC.
February 10, 1994 - September 7, 1994
SIGNATOR FINANCIAL SERVICES, INC.
July 7, 1992 - February 9, 1994
NEW ENGLAND SECURITIES
January 27, 1992 - June 24, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 27, 1992 - June 24, 1992
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.
