Best Investors Account Sign in

Steven C Underwood

J.P. Morgan Securities LLC

Valparaiso, IN

Claim This Profile
Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-06-21
IN RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2016-06-21
  • IN RA
    APPROVED
    Since 2012-10-01

Branch Locations

2200 Morthland Drive, Valparaiso, IN 46383 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Valparaiso IN 10/2012 Present
Jpmorgan Chase Bank, N.A. Valparaiso IN 04/2002 Present
Previous Registrations
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Cedar Lake, IN
    Valparaiso, IN
    Kouts, IN
    Chesterton, IN
    Valparaiso, IN
    Valparaiso, IN
    Valparaiso, IN
  • 2005-06-30 → 2005-07-06
    Banc One Securities Corporation
    Valparaiso, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-29
S63 Uniform Securities Agent State Law Examination 2002-06-20
  • S65 Uniform Investment Adviser Law Examination
    2005-06-29
  • S63 Uniform Securities Agent State Law Examination
    2002-06-20
Other Names
  • Steven Charles Underwood

View on SEC IAPD

Other Firms

MWM ADVISORY GROUP, LLC
FIRST HEARTLAND CONSULTANTS, INC.
COMMONWEALTH FINANCIAL NETWORK
AMERIPRISE FINANCIAL SERVICES, LLC
ON INVESTMENT MANAGEMENT CO
LPL FINANCIAL LLC
FIFTH THIRD SECURITIES, INC.
EDWARD JONES

Other Investors

JOSEPH RICHARD MURPHY
Whitney M. Trimble
Scott C Reiner
Victor Le Roy Sikorski
JAMES ALAN KUXHAUS
DOUGLAS RAYMOND ELLIOTT
PAUL JASON KUZEMKA
William George Pendleton

Other Offices

MWM ADVISORY GROUP, LLC · VALPARAISO, IN
FIRST HEARTLAND CONSULTANTS, INC. · VALPARAISO, IN
COMMONWEALTH FINANCIAL NETWORK · Valparaiso, IN
AMERIPRISE FINANCIAL SERVICES, LLC · Valparaiso, IN
ON INVESTMENT MANAGEMENT CO · Valparaiso, IN
LPL FINANCIAL LLC · VALPARAISO, IN
FIFTH THIRD SECURITIES, INC. · VALPARAISO, IN
LPL FINANCIAL LLC · VALPARAISO, IN

More in Valparaiso, IN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor