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Teresa Tompkins Appell

J.P. Morgan Securities LLC

Louisville, KY

Louisville, KY

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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 2016-10-06
KY RA APPROVED 2012-10-01
  • TX RA
    APPROVED
    Since 2016-10-06
  • KY RA
    APPROVED
    Since 2012-10-01

Branch Locations

4111 Shelbyville Road, Louisville, KY 40207 • United States

8141 Bardstown Road, Louisville, KY 40291 • 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
J.P. Morgan Securities Llc Louisville KY 10/2012 Present
Jpmorgan Chase Bank, N.A. Louisville KY 06/2010 Present
Previous Registrations
  • 2011-08-09 → 2012-10-01
    Chase Investment Services Corp.
    Louisville, KY
    Louisville, KY
    Lexington, KY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-08
S63 Uniform Securities Agent State Law Examination 2003-10-15
  • S66 Uniform Combined State Law Examination
    2011-08-08
  • S63 Uniform Securities Agent State Law Examination
    2003-10-15
Other Names
  • Teresa Kay Tompkins
  • Teresa Riney
  • Teresa Tompkins Riney
  • Teresa Kay Tompkins-Riney
  • Teresa Kay Riney
  • Teresa Kay Tompkins Appell

View on SEC IAPD

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