Grant D. Bartlett
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.
Grant Drummond Bartlett, who also goes by Grant Drummond Bartlett, was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 2004. Grant had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2024 - August 12, 2025
J.P. MORGAN SECURITIES LLC
September 29, 2023 - August 12, 2025
J.P. MORGAN SECURITIES LLC
May 24, 2019 - March 21, 2025
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
May 24, 2019 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
March 22, 2016 - May 28, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2016 - May 28, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 2008 - August 7, 2012
EDELMAN FINANCIAL SERVICES, LLC
November 24, 2008 - August 7, 2012
SANDERS MORRIS LLC
August 7, 2007 - October 10, 2008
TD AMERITRADE, INC.
August 3, 2007 - October 10, 2008
TD AMERITRADE, INC.
August 3, 2007 - October 10, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 8, 2006 - August 14, 2007
E*TRADE SECURITIES LLC
June 11, 2004 - January 4, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 21, 2004 - January 4, 2006
IDS LIFE INSURANCE COMPANY
May 21, 2004 - January 4, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
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.
