Stephen L. Shirley
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CRD#: 422352
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.
Stephen Lane Shirley was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1968. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 3, Series 15, Series 5, PC, Series 1, Series 9, Series 10, Series 4, Series 40 and Series 12 exams.
Biography
Stephen Shirley is an Executive Director and Wealth Advisor at J.P. Morgan Wealth Management. He works alongside his son, Travis, and their Client Associate, Lauren (Bauer) Vasquez, to develop and deliver investment strategies for the team's client base.
Throughout his distinguished 45-year career, Steve has been a passionate student of the stock market. His focus is investing for income generation, with an emphasis on growth stocks, especially technology and biotechnology firms. He utilizes J.P. Morgan's strong research platform and his own investment experience to help formulate tailored strategies and recommend a course of action. His approach takes current income, tax considerations and lending into account to address short- and long-term wealth management needs. Steve's father was a cotton broker and was the inspiration for Steve's lifelong interest in securities and commodities. While still very young, he opened his first brokerage account in Fresno, California, at E. F. Hutton, with a purchase of Ford Motor Company on the IPO.
Over the course of his long and storied career, Steve has held significant managerial and brokerage positions that were an outgrowth of his first financial services position as a stock broker trainee at Shearson Hammill in 1967. He moved to Kidder Peabody in 1971 to help establish its Newport Beach office and was promoted to Manager there in 1975. He transferred to New York in 1988 to become National Sales Marketing Manager and serve as a member of Kidder's Capital Commitment Review Committee.
Prudential hired Steve to establish and manage a Corporate Services Office in 1993, and in 1997, he left to launch and manage Hambrecht & Quist's Newport Beach office. He moved to CIBC Oppenheimer in January 2002 to continue his focus on investing in the stock and bond markets on behalf of his clients, and quickly assumed the additional responsibility of Resident Manager. In 2014, Steve joined J.P. Morgan in Newport Beach in order to expand the Registered Investment Advisor aspect of his business.
Steve has twice been selected as one of the Top 10 Managers in the United States by On Wall Streetmagazine. He considers himself lucky to be doing something he loves, and his passion and enthusiasm for the overall investment process are his hallmarks.
Originally a college student at the Colorado School of Mines, Steve graduated from the University of California, Berkeley, with a B.S. in Finance and is an honorary member of the Marshall School of Business at USC. He and his wife, Karen, live in Laguna Beach and have a second home in Jackson, Wyoming, where he enjoys fly fishing and golf.
Steve is the owner of the foremost collection of Yellowstone memorabilia, including a vintage 1936 Yellowstone Park bus, which he had restored in Bozeman, Montana. He is also a noted collector of pre-World War I Black Forest antiques.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
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
September 4, 2014 - April 12, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEWPORT BEACH, CA
Past
September 4, 2014 - April 12, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEWPORT BEACH, CA
Past
August 4, 2005 - September 16, 2014
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEWPORT BEACH, CA
Past
January 3, 2003 - September 16, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEWPORT BEACH, CA
Past
January 23, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
February 1, 2000 - January 28, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 31, 1997 - February 1, 2000
HAMBRECHT & QUIST LLC
BD
CRD#: 940
SAN FRANCISCO, CA
Past
September 20, 1993 - March 14, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 19, 1978 - September 20, 1993
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
September 1, 1971 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
Past
June 25, 1968 - October 10, 1971
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/7/1995
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 2/7/1995
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/15/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 6/21/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 4/3/1978
Registered Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 12/8/1975
NYSE Branch Manager ExaminationCurrent 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.
