Sime N Miocic
Also appears in the source record as: Sam Miocic; Sammy Miocic; Sime Nick Miocic
Registration & licensing
As recorded in SEC IAPD / FINRA BrokerCheck
- Broker-dealer registration
- Active
- Investment adviser registration
- Active
- Exams passed (7)
- SIESeries 7Series 10Series 9Series 24Series 65Series 63
- Registered states (53)
- Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
- Years in the industry (source record)
- 31
- Professional designations
- Not yet retrieved from the source record
Disclosures
Copied from the official record
The official record for CRD 2572105 contains one or more disclosure events as of Aug 20, 2026.
findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:
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 (16)
From the source registration record · current first
-
start not retrieved → present
-
start not retrieved → present
-
start not retrieved → present
-
Chase Investment Services Corp.Dallas, TX · IA capacityNov 16, 2006 → Oct 1, 2012
-
Chase Investment Services Corp.Dallas, TX · BC capacityNov 16, 2006 → Oct 1, 2012
-
Ifmg Securities, Inc.Williston Park, NY · IA capacitySep 11, 2006 → Nov 27, 2006
-
Ifmg Securities, Inc.Williston Park, NY · BC capacitySep 11, 2006 → Nov 27, 2006
-
Essex National Securities, Inc.Wiliston Park, NY · IA capacityAug 5, 2005 → Sep 12, 2006
-
Essex National Securities, Inc.Wiliston Park, NY · BC capacityAug 5, 2005 → Sep 12, 2006
-
Banc Of America Investment Services, Inc.Jericho, NY · IA capacityAug 11, 2005 → Aug 18, 2005
-
Banc Of America Investment Services, Inc.Boston, MA · BC capacityOct 20, 2004 → Aug 18, 2005
-
Quick & Reilly, Inc.New York, NY · BC capacitySep 20, 2004 → Oct 20, 2004
-
Hsbc Brokerage (USA) Inc.New York, NY · BC capacityFeb 22, 2002 → Oct 15, 2004
-
Joseph Gunnar & Co. LLCUniondale, NY · BC capacityJan 26, 1998 → Feb 8, 2002
-
Nichols, Safina, Lerner & Co. Inc.New York, NY · BC capacitySep 18, 1996 → Feb 1, 1998
-
Noble International Investments, Inc.Boca Raton, FL · BC capacityDec 16, 1994 → Sep 19, 1996
Source & corrections
Where this page comes from
Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.
Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.