Roger Klion
Professional summary
Roger Klion, who also goes by Roger Jay Klion, is a registered financial professional currently at J.P. MORGAN SECURITIES LLC located in Jersey City, New Jersey and J.P. MORGAN PRIME INC. located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 2006. Roger has worked at 3 firms and has passed the Series 7TO, Series 99TO, SIE, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Klion's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2016 - Present
J.P. MORGAN SECURITIES LLC
Office #1: 575 Washington Blvd, Jersey City, NJ 07310June 21, 2016 - Present
J.P. MORGAN PRIME INC.
Office #1: 383 Madison Avenue, New York, NY 10179January 24, 2012 - October 1, 2016
J.P. MORGAN CLEARING CORP.
January 26, 2006 - September 30, 2008
J.P. MORGAN CLEARING CORP.
January 13, 2006 - September 30, 2008
J.P. MORGAN SECURITIES LLC
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
Series 7TO
Date: 8/29/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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
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