Kris L. Wiley
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.
Kris L. Wiley, who also goes by Kris L Wiley, Kris Lloyd Wiley, Kris Wiley, was a registered financial professional .
Kris is a previously registered financial professional and started their career in finance in 2005. Kris had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2016 - November 13, 2020
J.P. MORGAN SECURITIES LLC
February 11, 2016 - November 13, 2020
J.P. MORGAN SECURITIES LLC
March 9, 2015 - January 6, 2016
PNC WEALTH MANAGEMENT LLC
March 6, 2015 - January 6, 2016
PNC WEALTH MANAGEMENT LLC
June 11, 2013 - February 10, 2015
HSBC SECURITIES (USA) INC.
June 7, 2013 - February 10, 2015
HSBC SECURITIES (USA) INC.
October 1, 2012 - May 23, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 23, 2013
J.P. MORGAN SECURITIES LLC
June 27, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 25, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 26, 2010 - November 23, 2010
M&T SECURITIES, INC.
March 11, 2010 - July 13, 2010
M&T SECURITIES, INC.
November 12, 2009 - November 23, 2010
M&T SECURITIES, INC.
January 11, 2008 - November 9, 2009
CHASE INVESTMENT SERVICES CORP.
January 17, 2005 - January 17, 2008
NYLIFE SECURITIES 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.
