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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-09-19
OH RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • OH RA
    APPROVED
    Since 2012-10-01

Branch Locations

1799 Harding Highway, Lima, OH 45804 • United States

135 S. Main Street, Bluffton, OH 45817 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sunset Junkies Llc Bluffton OH 06/2014 Present
J.P. Morgan Securities Llc Lima OH 10/2012 Present
Previous Registrations
  • 2008-10-01 → 2012-10-01
    Chase Investment Services Corp.
    Lima, OH
    Lima, OH
  • 2002-07-19 → 2003-08-14
    A. G. Edwards & Sons, Inc.
    Lima, OH
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: SUNSET JUNKIES, LLC. POSITION: OWNER START DATE: 6/3/2014 ADDRESS: 11193 Bluffton, OH DETAILS: WWW.SUNSETJUNKIES.COM. MUSIC/MUSIC PRODUCTION/LIVE ENTERTAINMENT. SCHEDULING AND PERFORMING AT EVENTS AS WELL AS SELLING MUSIC ONLINE. HOURS DEDICATED (per month unless otherwise indicated): Undefined HOURS DURING TRADING: 0 INVESTMENT RELATED: NO

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-29
  • S66 Uniform Combined State Law Examination
    2008-09-29
Other Names
  • Craig J. Bauman

View on SEC IAPD

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