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Alan S Sternberg

J.P. Morgan Securities LLC

Brookfield, WI

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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 2015-03-11
WI RA APPROVED 2013-03-13
  • TX RA
    APPROVED_RES
    Since 2015-03-11
  • WI RA
    APPROVED
    Since 2013-03-13

Branch Locations

14900 West Capitol Drive, Brookfield, WI 53005 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Brookfield WI 03/2013 Present
Previous Registrations
  • 2010-03-02 → 2013-03-11
    U.S. Bancorp Investments, Inc.
    Elkhorn, WI
    Oconomowoc, WI
    Delafield, WI
    Menomonee Falls, WI
    Milwaukee, WI
    Germantown, WI
  • 2006-01-06 → 2010-03-29
    M&I Financial Advisors, Inc
    Brookfield, WI
    Brookfield, WI
  • 2005-07-06 → 2006-01-04
    Chase Investment Services Corp.
    Brookfield, WI
  • 2005-06-15 → 2005-07-06
    Banc One Securities Corporation
    Brookfield, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-14
S63 Uniform Securities Agent State Law Examination 2002-12-19
  • S65 Uniform Investment Adviser Law Examination
    2005-06-14
  • S63 Uniform Securities Agent State Law Examination
    2002-12-19
Other Names
  • Alan S Sternberg
  • Alan Scott Sternberg

View on SEC IAPD

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Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Thomas James Berkholtz
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler

Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI

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