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Stephen Roberts

J.P. Morgan Securities LLC

Colorado Springs, CO

Colorado Springs, CO

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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 2013-10-14
CO RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2013-10-14
  • CO RA
    APPROVED
    Since 2012-10-01

Branch Locations

4190 Austin Bluffs Parkway, Colorado Springs, CO 80918 • United States

7685 N Academy Blvd, Colorado Springs, CO 80920 • 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
Jpmorgan Chase Bank, N.A. Colorado Springs CO 02/2011 Present
J.P. Morgan Securities Llc Colorado Springs CO 10/2012 Present
  • 02/2011 → Present
    Jpmorgan Chase Bank, N.A.
    Colorado Springs, CO
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Colorado Springs, CO
Previous Registrations
  • 2011-03-07 → 2012-10-01
    Chase Investment Services Corp.
    Colorado Springs, CO
  • 2010-09-14 → 2011-02-16
    Waddell & Reed
    Colorado Springs, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-13
S63 Uniform Securities Agent State Law Examination 2006-06-15
  • S65 Uniform Investment Adviser Law Examination
    2010-09-13
  • S63 Uniform Securities Agent State Law Examination
    2006-06-15
Other Names
  • Stephen M Roberts
  • Stephen Michael Roberts

View on SEC IAPD

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Other Investors

KARLA ROSS
TROY CARLSON
JUSTIN BACKSTROM
JANICA JOLI GILLETTE-BACKSTROM
GARY BACKSTROM
Nicholas Dorsett
Patrick Thomas Healy
Christopher Robert Dorsett

Other Offices

LPL FINANCIAL LLC · COLORADO SPRINGS, CO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COLORADO SPRINGS, CO
SEAMOUNT FINANCIAL GROUP INC · COLORADO SPRINGS, CO
UBS FINANCIAL SERVICES INC. · COLORADO SPRINGS, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLORADO SPRINGS, CO
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · COLORADO SPGS, CO
BENJAMIN F. EDWARDS & COMPANY, INC. · Colorado Springs, CO
OSAIC WEALTH, INC. · COLORADO SPRINGS, CO

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