Dustin Chase
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.
Dustin Chase, who also goes by Michael Dustin Chase, Mickeen Chase, Mickey Chase, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 1970. Dustin had worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 1, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - January 20, 2024
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 20, 2024
J.P. MORGAN SECURITIES LLC
August 15, 1997 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 18, 1997 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 12, 1995 - June 3, 1997
CITICORP INVESTMENT SERVICES
September 1, 1995 - December 4, 1995
FLEET ENTERPRISES, INC.
July 26, 1993 - July 13, 1995
ESSEX NATIONAL SECURITIES, LLC
July 8, 1993 - May 9, 1995
LASALLE FINANCIAL SERVICES, INC.
February 19, 1993 - July 8, 1993
EAB SECURITIES, INC.
June 1, 1992 - February 1, 1993
CITICORP INVESTMENT SERVICES
October 12, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
February 8, 1990 - November 6, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
February 29, 1988 - January 18, 1990
A. G. EDWARDS & SONS, INC.
February 28, 1988 - January 18, 1990
A. G. EDWARDS & SONS, INC.
November 15, 1982 - June 28, 1983
UBS FINANCIAL SERVICES INC.
May 13, 1982 - September 10, 1982
LEHMAN BROTHERS INC.
November 28, 1981 - April 27, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 31, 1980 - December 27, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
March 30, 1979 - October 30, 1980
KIDDER, PEABODY & CO. INCORPORATED
December 5, 1977 - April 16, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 26, 1977 - January 1, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
August 29, 1972 - August 17, 1973
PRINCIPAL FINANCIAL SECURITIES,INC.
September 21, 1971 - December 30, 1972
EDWARD JONES
March 26, 1971 - October 20, 1971
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 3, 1970 - April 23, 1971
E. F. HUTTON & COMPANY 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 3/1/1968
Registered 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.
