Veronica L. Pine
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.
Veronica L. Pine, CFP®, who also goes by Veronica L Pine, Veronica Lyn Pine, was a registered financial professional .
Veronica is a previously registered financial professional and started their career in finance in 1998. Veronica had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 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
March 20, 2021 - March 5, 2022
J.P. MORGAN SECURITIES LLC
March 17, 2021 - March 5, 2022
J.P. MORGAN SECURITIES LLC
March 31, 2016 - October 30, 2019
EAGLE STRATEGIES LLC
February 23, 2016 - October 30, 2019
NYLIFE SECURITIES LLC
June 4, 2015 - October 1, 2015
STRATEGIC ADVISERS LLC
May 26, 2015 - September 30, 2015
FIDELITY BROKERAGE SERVICES LLC
March 5, 2013 - September 11, 2013
USAA FINANCIAL ADVISORS, INC.
February 12, 2013 - September 11, 2013
USAA FINANCIAL PLANNING SERVICES
November 15, 2010 - July 14, 2012
PATRIOT FINANCIAL ADVISORS
October 4, 2004 - January 10, 2006
UBS FINANCIAL SERVICES INC.
October 4, 2004 - April 6, 2010
UBS FINANCIAL SERVICES INC.
June 27, 2002 - September 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2002 - September 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2000 - March 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2000 - June 19, 2000
CITIGROUP GLOBAL MARKETS INC.
July 28, 1998 - April 28, 2000
WACHOVIA SECURITIES, 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.
