Robert L. Poole

CRD 4011698 · J.P. Morgan Securities LLC · Indianapolis, IN

IA RegisteredBroker

Also appears in the source record as: Robert L Poole; Robert Leonard Poole; Robert Poole

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 79TOSeries 52TOSIESeries 7Series 4Series 53Series 10Series 9Series 24Series 66Series 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): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (15)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Indianapolis, IN · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Indianapolis, IN · BC capacity

start not retrieved → present
Huntington Financial Advisors
Indianapolis, IN · IA capacity

Jun 29, 2017 → Sep 29, 2022
The Huntington Investment Company
Indianapolis, IN · BC capacity

Jun 28, 2017 → Sep 29, 2022
Mml Investors Services, LLC
Indianapolis, IN · IA capacity

Mar 25, 2017 → Jun 2, 2017
Mml Investors Services, LLC
Indianapolis, IN · BC capacity

Mar 25, 2017 → Jun 2, 2017
Msi Financial Services, Inc.
Indianapolis, IN · IA capacity

Jan 2, 2015 → Mar 25, 2017
Msi Financial Services, Inc.
Indianapolis, IN · BC capacity

Oct 15, 2013 → Mar 25, 2017
New England Securities Corporation
Indianapolis, IN · IA capacity

Mar 26, 2013 → Jan 2, 2015
New England Securities
Indianapolis, IN · BC capacity

Feb 21, 2013 → Jan 2, 2015
Morgan Stanley Smith Barney LLC
Indianapolis, IN · IA capacity

Jul 14, 2011 → Jun 22, 2012
Morgan Stanley Smith Barney
Indianapolis, IN · BC capacity

Jun 1, 2009 → Jun 22, 2012
Morgan Stanley & Co. Incorporated
South Jordan, UT · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley Dw Inc.
West Valley City, UT · BC capacity

Nov 1, 2000 → Apr 2, 2007
Morgan Stanley Dean Witter Online Inc.
San Francisco, CA · BC capacity

Dec 15, 1999 → Nov 1, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4011698 ↗ FINRA BrokerCheck record for CRD 4011698 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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