Christopher L. La Flam
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.
Christopher Lee La Flam, who also goes by Chris L La Flam, Christopher Lee La Flam, Christopher Laflam, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2024 - February 12, 2025
J.P. MORGAN SECURITIES LLC
April 14, 2023 - February 12, 2025
J.P. MORGAN SECURITIES LLC
March 25, 2021 - October 10, 2022
EMPOWER ADVISORY GROUP, LLC
July 13, 2017 - October 10, 2022
EMPOWER FINANCIAL SERVICES, INC.
September 23, 2016 - December 9, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
May 7, 2014 - August 9, 2016
TRANSAMERICA CAPITAL, LLC
May 6, 2011 - July 17, 2012
U.S. BANCORP INVESTMENTS, INC.
May 30, 2007 - April 20, 2011
CHASE INVESTMENT SERVICES CORP.
November 7, 2006 - May 25, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 15, 2005 - October 11, 2006
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 6, 2005 - August 4, 2005
CHASE INVESTMENT SERVICES CORP.
August 5, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
August 21, 2001 - August 5, 2003
PRUCO SECURITIES, LLC.
September 27, 1994 - July 30, 2001
JANUS HENDERSON DISTRIBUTORS US 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.
