Debra M. Sikes
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.
Debra Marie Sikes, who also goes by Debra M Casazza, Debra Marie Cassazza, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1981. Debra had worked at 16 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 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, 2008 - August 16, 2018
J.P. MORGAN SECURITIES LLC
April 10, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
March 16, 2005 - May 20, 2005
JOSEPH GUNNAR & CO. LLC
January 3, 2005 - March 11, 2005
DOMESTIC SECURITIES, INC.
June 9, 2000 - November 11, 2004
UBS CAPITAL MARKETS L.P.
December 17, 1999 - June 5, 2000
FIRSTAR INVESTMENT SERVICES,INC.
May 17, 1999 - December 10, 1999
WORLDCO, L.L.C.
August 27, 1998 - May 20, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 1997 - November 10, 1998
MIDLAND WALWYN CAPITAL CORPORATION
May 13, 1997 - September 10, 1998
SOUTHWICK INVESTMENTS, INC.
February 12, 1997 - June 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 30, 1993 - December 1, 1995
ABEL/NOSER CORP.
January 29, 1993 - March 2, 1993
MIDWOOD SECURITIES, INC.
November 16, 1987 - March 5, 1992
BMO CAPITAL MARKETS CORP.
January 26, 1984 - October 30, 1987
GORDON, HASKETT CAPITAL CORPORATION
March 23, 1981 - December 31, 1983
GORDON, HASKETT & CO.
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
Series 55
Date: 7/16/1999
Limited Representative-Equity Trader ExamCurrent 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 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| 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 | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
