VW
Vanessa M. Williams Joseph
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CRD#: 2755585
VW
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.
Vanessa Michelle Williams Joseph, who also goes by Vanessa Michelle Joseph, Vanessa M Williams, Vanessa Michelle Williams, was a registered financial professional .
Vanessa is a previously registered financial professional and started their career in finance in 1998. Vanessa had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vanessa Michelle Joseph | Vanessa M Williams | Vanessa Michelle Williams
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Entity Name: Sandcastle Days Investment related: No Address: Unit 325, Miramar, FL Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 02/05/2020 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: 50% owner with my husband who owns the other 50%. Very limited responsibilities, filing annual reports Entity Name: V. Michelle Williams Art Investment related: No Address: Chicago, IL Nature of the other business: Freelance artist - show and sale my paintings Position/Title/Relationship: Sole Proprietor Start Date: 29-Jul-2014 Approximate # of hours a month: 5 -10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Owner - create, market and sale Entity Name: Fresh Powder LLC Investment related: No Address: 24 River Run, Keystone CO Nature of the other business: Limited Partnership to hold rental real estate (currently one property) Position/Title/Relationship: Partial Owner Start Date: 30-Jan-2017 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: financial responsibility only Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 21, 2008 - September 4, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Chicago, IL
Past
November 20, 2008 - September 4, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Chicago, IL
Past
October 12, 2005 - July 21, 2008
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DENVER, CO
Past
September 26, 2005 - July 21, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SAN DIEGO, CA
Past
July 14, 2004 - September 20, 2005
NBC SECURITIES, INC.
RIA
CRD#: 17870
BIRMIGNHAM, AL
Past
July 14, 2004 - September 20, 2005
NBC SECURITIES, INC.
BD
CRD#: 17870
BIRMINGHAM, AL
Past
August 9, 2002 - July 7, 2004
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
May 15, 2001 - July 7, 2004
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
October 27, 1999 - May 7, 2001
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
August 20, 1998 - October 25, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
1111 Polaris Pkwy Floor 3f, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 08/12/1985
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
8,327
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.
