Jorge W. Velasco
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.
Jorge W Velasco, who also goes by George Velasco, Jorge Washington Velasco, Jorge Velasco, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 2001. Jorge had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2017 - November 19, 2018
J.P. MORGAN SECURITIES LLC
August 23, 2006 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
March 28, 2006 - August 9, 2006
AURA FINANCIAL SERVICES, INC.
October 19, 2005 - March 17, 2006
FIRST HUDSON FINANCIAL GROUP, INC.
May 18, 2005 - October 20, 2005
BISHOP, ROSEN & CO., INC.
December 10, 2004 - May 25, 2005
INDEPENDENT SECURITIES INVESTORS CORPORATION
July 19, 2004 - November 23, 2004
J.P. TURNER & COMPANY, L.L.C.
May 6, 2004 - August 9, 2004
NEW YORK GLOBAL SECURITIES, INC.
January 20, 2004 - April 20, 2004
NATIONAL SECURITIES CORPORATION
October 15, 2003 - December 19, 2003
BERRY-SHINO SECURITIES, INC.
June 20, 2003 - August 21, 2003
S. B. CANTOR & CO., INC.
April 23, 2003 - July 9, 2003
THE ROCKWELL FINANCIAL GROUP, INC.
March 4, 2003 - April 16, 2003
E1 ASSET MANAGEMENT, INC.
May 28, 2002 - March 4, 2003
EKN FINANCIAL SERVICES INC.
December 15, 2001 - July 18, 2002
ANDREW GARRETT INC.
October 18, 2001 - December 15, 2001
ANDREW GARRETT, INC.
July 9, 2001 - November 21, 2001
THE ROCKWELL FINANCIAL GROUP, INC.
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
Series 62
Date: 7/6/2001
Corporate Securities Limited Representative ExaminationCurrent 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.
