Eunice L. Somerset
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.
Eunice Lesley Somerset, who also goes by Eunice Lesley Allan, Eunice Lesley King, Eunice Somerset, was a registered financial professional .
Eunice is a previously registered financial professional and started their career in finance in 1992. Eunice had worked at 11 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
September 25, 2017 - July 27, 2018
J.P. MORGAN SECURITIES LLC
September 25, 2017 - July 27, 2018
J.P. MORGAN SECURITIES LLC
September 8, 2015 - June 5, 2017
STRATEGIC ADVISERS LLC
August 21, 2015 - June 1, 2017
FIDELITY BROKERAGE SERVICES LLC
June 20, 2014 - August 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 20, 2014 - August 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 18, 2007 - June 24, 2014
EDWARD JONES
June 14, 2001 - June 24, 2014
EDWARD JONES
August 2, 1999 - June 13, 2001
CETERA INVESTMENT SERVICES LLC
January 1, 1999 - August 29, 1999
WAMU INVESTMENTS, INC.
February 20, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
November 22, 1995 - March 9, 1998
FIMCO SECURITIES GROUP, INC.
April 6, 1993 - May 25, 1994
CORPORATE BENEFIT SECURITIES, INC.
July 15, 1992 - March 31, 1993
CHATFIELD DEAN & CO., 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.
