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Lisa Christine Falcone

J.P. Morgan Securities LLC

Chicago, IL

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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 2020-01-22
IL RA APPROVED 2020-01-01
  • TX RA
    APPROVED
    Since 2020-01-22
  • IL RA
    APPROVED
    Since 2020-01-01

Branch Locations

550 W Adams St, Chicago, IL 60661 • 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
Mml Investors Services, Llc Chicago IL 10/2014 11/2019
Jp Morgan Securities, Llc Chicago IL 11/2019 Present
Jp Morgan Chase Bank, N.A. Chicago IL 11/2019 Present
Mass Mutual Chicago IL 08/2014 11/2019
  • 10/2014 → 11/2019
    Mml Investors Services, Llc
    Chicago, IL
  • 11/2019 → Present
    Jp Morgan Securities, Llc
    Chicago, IL
  • 11/2019 → Present
    Jp Morgan Chase Bank, N.A.
    Chicago, IL
  • 08/2014 → 11/2019
    Mass Mutual
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-27
S63 Uniform Securities Agent State Law Examination 2006-12-18
  • S66 Uniform Combined State Law Examination
    2019-12-27
  • S63 Uniform Securities Agent State Law Examination
    2006-12-18
Other Names
  • Lisa Christine O'BRien
  • Lisa C Davidson
  • Lisa Christine Davidson

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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