Jay Lippman
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.
Jay Lippman, who also goes by Jay Martin Lippman, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 2006. Jay had worked at 5 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - July 8, 2016
J.P. MORGAN PRIME INC.
October 27, 2015 - June 20, 2016
J.P. MORGAN SECURITIES LLC
December 16, 2013 - May 22, 2015
GOLDMAN SACHS & CO. LLC
May 17, 2007 - December 17, 2013
J.P. MORGAN SECURITIES LLC
May 17, 2007 - December 17, 2013
J.P. MORGAN CLEARING CORP.
April 12, 2006 - March 29, 2007
NOMURA SECURITIES INTERNATIONAL, 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
Current Firm
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
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.
