Michael L. Proctor
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.
Michael L. Proctor, who also goes by Michael Lynn Proctor, Michael Proctor, Michael L Proctor, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 10, Series 9 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 15, 2022 - June 4, 2025
J.P. MORGAN SECURITIES LLC
September 15, 2022 - June 4, 2025
J.P. MORGAN SECURITIES LLC
June 10, 2022 - September 6, 2022
FIDELITY BROKERAGE SERVICES LLC
May 3, 2018 - April 26, 2022
CITIZENS SECURITIES, INC.
April 30, 2018 - April 26, 2022
CITIZENS SECURITIES, INC.
February 1, 2018 - April 23, 2018
VALIC FINANCIAL ADVISORS, INC.
January 29, 2018 - April 23, 2018
VALIC FINANCIAL ADVISORS, INC.
October 29, 2007 - January 29, 2018
CITIZENS SECURITIES, INC.
October 19, 2007 - January 29, 2018
CITIZENS SECURITIES, INC.
July 10, 2006 - October 11, 2007
HSBC SECURITIES (USA) INC.
December 6, 2005 - October 11, 2007
HSBC SECURITIES (USA) INC.
August 13, 2002 - November 28, 2005
CHASE INVESTMENT SERVICES CORP.
August 14, 1998 - November 28, 2005
CHASE INVESTMENT SERVICES CORP.
October 27, 1997 - August 19, 1998
CITICORP INVESTMENT SERVICES
April 24, 1996 - April 2, 1998
M&T SECURITIES, INC.
May 25, 1995 - February 7, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 25, 1995 - February 7, 1996
EQUITABLE 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.
