Humberto M. Salinas
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.
Humberto Manuel Salinas III, who also goes by Manuel Humberto Salinas, H M Salinas, Humberto M Salinas III, Humberto M Salinas, Humberto Manuel Salinas III, Umberto M Salinas, was a registered financial professional .
Humberto is a previously registered financial professional and started their career in finance in 2003. Humberto had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2020 - November 23, 2020
J.P. MORGAN SECURITIES LLC
June 12, 2017 - December 31, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
March 16, 2017 - December 31, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
September 20, 2011 - November 24, 2015
VINTAGE CAPITAL ADVISORS, LLC
June 1, 2009 - May 18, 2010
MORGAN STANLEY
June 1, 2009 - May 18, 2010
MORGAN STANLEY
July 24, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 9, 2007 - December 10, 2007
FISHER INVESTMENTS
January 10, 2007 - August 14, 2007
E*TRADE SECURITIES LLC
March 11, 2005 - August 11, 2005
CITICORP INVESTMENT SERVICES
July 15, 2004 - October 22, 2004
EQUITABLE ADVISORS, LLC
September 30, 2003 - July 12, 2004
CITIGROUP GLOBAL MARKETS INC.
March 12, 2003 - July 8, 2003
U.S. BANCORP ADVISORS, 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.
