Allen L. Tesche
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.
Allen Lee Tesche, who also goes by Al Tesche, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1972. Allen had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2003 - May 11, 2012
J.P. MORGAN SECURITIES LLC
October 2, 2003 - May 11, 2012
J.P. MORGAN SECURITIES LLC
January 3, 2003 - October 2, 2003
OPPENHEIMER & CO. INC.
October 30, 1995 - January 3, 2003
CIBC WORLD MARKETS CORP.
March 24, 1995 - November 10, 1995
CITIGROUP GLOBAL MARKETS INC.
October 4, 1993 - March 30, 1995
THE ROBINSON-HUMPHREY COMPANY, LLC
January 20, 1993 - October 6, 1993
WACHOVIA SECURITIES, INC.
March 15, 1983 - November 5, 1985
ALEX. BROWN & SONS INCORPORATED
August 12, 1982 - March 4, 1983
J.P. MORGAN SECURITIES LLC
February 22, 1978 - August 6, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 5, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
May 2, 1972 - July 4, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 1
Date: 4/27/1972
Registered Representative ExaminationSeries 8
Date: 7/24/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
