Alissa J. Kueng
Professional summary
Alissa Joelle Kueng was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alissa is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Alissa had worked at 1 firm, which includes J.P. MORGAN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2002 - January 24, 2006
J.P. MORGAN SECURITIES INC.
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 SECURITIES INC.
CRD#: 18718 / SEC#: , 8-36950
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN SECURITIES HOLDINGS LLC | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | |
| BLACK, STEVEN DAVIS | CEO, CHAIRPERSON, DIRECTOR, MANAGING DIRECTOR | 801694 |
| BLESER, PHILIP FRANCIS | DIRECTOR | 4506044 |
| BRAUNSTEIN, DOUGLAS LEE | DIRECTOR AND MANAGING DIRECTOR | 1542814 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND SR. MANAGING DIRECTOR | 2725065 |
| ERDOES, MARY ELIZABETH | DIRECTOR | 2502095 |
| FITZGERALD, LISA JOAN | TREASURER AND MANAGING DIRECTOR | 1542376 |
| GENOVA, DIANE M | CHIEF LEGAL OFFICER AND MANAGING DIRECTOR | 5558897 |
| HERNANDEZ, CARLOS M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR | 2647255 |
| HORAN, ANTHONY JAMES | SECRETARY AND SR. VICE PRESIDENT | 1970798 |
| JOHNSON, GREGORY JUDE | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | 2611617 |
| SULLIVAN, MARGARET MARY | DIRECTOR, CHIEF OPERATIONS OFFICER, EXECUTIVE DIRECTOR | 1940830 |
Disclosures
| Regulatory Event | 103 |
| Civil Event | 3 |
| Arbitration | 2 |
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