Stephen P Spratley

CRD 2541637 · J.P. Morgan Securities LLC · Lake Charles, LA

IA RegisteredBroker

Also appears in the source record as: Stephen Patrick Spratley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 66Series 65Series 63
Registered states (14): Alabama · Arkansas · California · Colorado · Florida · Hawaii · Louisiana · Mississippi · South Carolina · Tennessee · Texas · Virginia · Washington · West Virginia
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2541637 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (9)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Lake Charles, LA · BC capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Lake Charles, LA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Lake Charles, LA · IA capacity

start not retrieved → present
Chase Investment Services Corp.
Lake Charles, LA · IA capacity

Jul 6, 2005 → Oct 1, 2012
Chase Investment Services Corp.
Lake Charles, LA · BC capacity

Jul 6, 2005 → Oct 1, 2012
Banc One Securities Corporation
Lake Charles, LA · IA capacity

Aug 21, 1998 → Jul 6, 2005
Banc One Securities Corporation
Chicago, IL · BC capacity

Aug 3, 1998 → Jul 6, 2005
Marquis Investments, L.L.C.
BC capacity

Sep 17, 1997 → Aug 19, 1998
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Nov 8, 1994 → Sep 26, 1995

Source & corrections

Where this page comes from

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