John Rios
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.
John Rios, who also goes by John Edward Rios, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 8 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2006 - December 31, 2008
J.P. MORGAN CLEARING CORP.
August 30, 2006 - July 12, 2014
J.P. MORGAN SECURITIES LLC
August 31, 2005 - June 29, 2006
MORGAN STANLEY & CO. LLC
June 1, 2004 - September 8, 2005
DEUTSCHE BANK SECURITIES INC.
March 27, 2002 - June 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2000 - March 11, 2002
LEHMAN BROTHERS INC.
February 15, 2000 - July 27, 2000
MORGAN STANLEY DW INC.
December 22, 1997 - January 12, 2000
GOLDMAN SACHS & CO. LLC
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 CLEARING CORP.
CRD#: 28432 / SEC#: 801-61542, 8-43724
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | SHAREHOLDER | 79 |
| BERNSTEIN, JEFFREY CARL | DIRECTOR | 1844904 |
| BRANNAN, PAUL F | DIRECTOR | 6142593 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND FINOP | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| FREILICH, WILLIAM HOWARD | CHIEF LEGAL OFFICER | 2203801 |
| HEITSENRETHER, TERESA ANN | CHAIRMAN, CHIEF EXECUTIVE OFFICER | 2722512 |
| KIRBY, PATRICK C | CHIEF OPERATING OFFICER AND DIRECTOR | 2595086 |
| LIPMAN, JEFFREY MARK | SECRETARY | 717915 |
| MCKENNA, JOHN JAMES | DIRECTOR | 2732946 |
| MINIKES, MICHAEL | DIRECTOR | 1204499 |
| PATTERSON, DAWN ANN | CHIEF COMPLIANCE OFFICER | 2862235 |
| REED, JAMIE MATTHEW | DIRECTOR | 2797383 |
Disclosures
| Regulatory Event | 38 |
| Civil Event | 1 |
| Arbitration | 28 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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