Alasdair M. Clynes
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.
Alasdair Mackay Clynes, who also goes by Alasdair M Clynes, was a registered financial professional .
Alasdair is a previously registered financial professional and started their career in finance in 1994. Alasdair had worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2017 - September 7, 2022
J.P. MORGAN SECURITIES LLC
June 16, 2014 - November 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2014 - November 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2013 - March 19, 2014
NYLIFE SECURITIES LLC
January 13, 2005 - December 24, 2008
BOC INTERNATIONAL (USA) INC.
September 30, 2002 - August 17, 2004
ABN AMRO INCORPORATED
January 28, 2000 - November 30, 2001
BNP PARIBAS SECURITIES CORP.
January 5, 1999 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
November 10, 1998 - January 7, 1999
BNP PARIBAS BROKERAGE SERVICES, INC.
February 19, 1998 - July 6, 1998
CASPIAN SECURITIES INCORPORATED
April 17, 1996 - January 5, 1998
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
October 6, 1995 - March 15, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1994 - January 29, 1996
SMITH NEW COURT, 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.
