Shaun D. Bromley
Professional summary
Shaun Dorian Bromley, AIF®, who also goes by Shaun D Bromley, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Shaun is registered as a RR (Registered Representative) and started their career in finance in 1997. Shaun has worked at 8 firms and has passed the Series 63, Series 65, Series 3, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shaun Dorian Bromley's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2016 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172June 30, 2011 - September 12, 2016
SANFORD C. BERNSTEIN & CO., LLC
February 8, 2006 - June 29, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 9, 2003 - February 7, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 10, 2002 - May 6, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 21, 1999 - June 5, 2002
CITISTREET EQUITIES LLC
August 28, 1997 - October 22, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 16, 1997 - July 31, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/22/2016)
(9/22/2016)
(9/12/2016)
(9/22/2016)
(9/12/2016)
(9/22/2016)
(9/22/2016)
(9/22/2016)
Exams
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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