Timothy S. Sheraden
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.
Timothy Scott Sheraden was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 8 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
October 1, 2012 - April 2, 2018
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 2, 2018
J.P. MORGAN SECURITIES LLC
June 29, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 29, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 2, 2010 - February 10, 2010
CUNA BROKERAGE SERVICES, INC.
February 2, 2010 - February 10, 2010
CUNA BROKERAGE SERVICES, INC.
June 15, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
June 15, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
July 13, 2007 - March 26, 2009
UBS FINANCIAL SERVICES INC.
July 13, 2007 - March 26, 2009
UBS FINANCIAL SERVICES INC.
September 16, 2005 - July 30, 2007
CITIGROUP GLOBAL MARKETS INC.
September 16, 2005 - July 30, 2007
CITIGROUP GLOBAL MARKETS INC.
July 1, 2004 - October 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 2004 - October 6, 2005
IDS LIFE INSURANCE COMPANY
July 1, 2004 - October 6, 2005
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.
